Series 24: Maintaining Books And Records

Taken from our Series 24 Online Guide

Maintaining Books and Records

Securities Exchange Act Rules 17a-3 and 17a-4 describe a list of records that broker-dealers must keep and for how long. The general tier of

Since you're reading about Series 24: Maintaining Books And Records, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 24
Please Enable Javascript
to view this content!