Series 99: 1.2.3.6.1 Customer Accounts

Taken from our Series 99 Top-off Online Guide

1.2.3.6.1 Customer Accounts

The information required on a new client account form must be kept by the member firm for at least six years. This applies to all individual and institutional accounts.

However, customer accounts that trade only in open-end mutual fund shares not recommended by the member

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