Six-year Minimum Requirement
Every dealer must preserve the following records for a period of not less than six years:
- • Blotters
- • General ledgers and customer ledgers
- • Securities records
- • The records concerning primary offerings
- • Records of customer complaints
- • Financial records subject to the net capital rule
- • The written record of all designated municipal securities principals and their responsibilities
- • Political contributions records
- • Records of gifts and gratuities and compensation for services performed
- • Consultant agreement records
- • Records of shared secondary market accounts, including:
- » Percentage share of par