Series 28: FinCEN Records And Reports

Taken from our Series 28 Online Guide

FinCEN Records and Reports

Every registered broker or dealer that is subject to the requirements of the Bank Secrecy Act must comply with the reporting, recordkeeping, and record retention requirements of the Code of Federal Regulations (CFR). Where federal regulations and SEC rules require the same records or reports to be preserved for different periods of time, those records or reports must be preserved for the longer period of time.

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