7.5.3. Recordkeeping Requirements
Each registered CTA must make and keep the following books and records at its main business office.
Concerning the CTA’s customers:
- • The name and address of each customer and each subscriber
- • The customer’s acknowledgement that it has received a disclosure document
- • All powers of attorney and other documents authorizing the CTA to the customer’s account
- • All other written agreements entered into by the CTA with any customer
- • A list or other record of all the CTA’s customer commodity interest accounts and their transactions
- • Copies of each confirmation of a commodity interest transaction, each purchase and sale statement, and each monthly statement received from an FCM or swap dealer
- • The original or a copy of each report, letter, advertisement, or other literature or advice distributed by the CTA to any customer, showing the first date of distribution
Concerning the CTA: