Series 79: SRO Recordkeeping Requirements

Taken from our Series 79 Top-off Online Guide

SRO Recordkeeping Requirements

The self-regulatory organizations impose recordkeeping requirements on their members. Fortunately, these SRO requirements do not add significant new burdens. FINRA Rule 4511

Since you're reading about Series 79: SRO Recordkeeping Requirements, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 79
Please Enable Javascript
to view this content!