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.
Explore the comprehensive guide on record retention requirements for securities compliance, focusing on AML regulations, types of records, retention periods, and best practices for secure recordkeeping.
Learn how Rights of Accumulation (ROA) can help you achieve reduced sales charges on mutual funds by leveraging your current holdings and additional purchases to reach breakpoint levels. Understand how family accounts can be combined to maximize discounts.