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.
Explore the comprehensive recordkeeping requirements for social media and digital communications in the securities industry, including retention periods, technology solutions, and compliance strategies.
Explore the comprehensive guidelines on contribution limits and restrictions for political contributions in the securities industry, focusing on firm policies, pre-approval processes, and recordkeeping requirements.
Explore the critical role of customer account records in securities compliance. Understand the necessary documentation, regulatory requirements, and best practices for maintaining accurate and thorough records.
Explore the essential recordkeeping requirements for securities professionals, focusing on electronic communications and social media. Learn about the obligation to retain records, duration of retention, and technologies to aid compliance.