Series 51: Recordkeeping Maintenance

Taken from our Series 51 Online Guide

Recordkeeping Maintenance

Dealers are not required to maintain books or records in any particular manner, except that all information must be clearly and accurately shown and provide an adequate basis for later auditing.

  • Bank dealers must keep all municipal securities records separately extractable from all other records maintained by the bank.
  • Records

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Solomon Exam Prep Study Materials for the Series 51
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