Series 7: 3.6.9 Rule G-9—Preservation Of Books And Records

Taken from our Series 7 Top-off Online Guide

3.6.9 Rule G-9—Preservation of Books and Records

Broker-dealers must preserve their records for various periods of time. The records of original entry, the account and securities records, the records concerning primary offerings, and the customer complaint records must be kept for at least si

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