Browse Series 6 Exam Prep
13.2 Recordkeeping and Reporting
In this section
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Required Records for Broker-Dealers and Registered Representatives
Comprehensive guide on required records for broker-dealers and registered representatives, covering customer account records, transaction records, communications, and financial reports. Understand the importance of accuracy, supervisory procedures, and compliance with SEC and FINRA regulations.
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Retention Periods in Securities Recordkeeping
Explore the essential retention periods for securities records, including compliance with SEC Rule 17a-4 and FINRA guidelines, to ensure regulatory adherence and avoid penalties.
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Electronic Storage Standards for Securities Recordkeeping
Explore the comprehensive guide to electronic storage standards in securities recordkeeping, focusing on regulatory compliance, WORM technology, and SEC Rule 17a-4(f).
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