Series 53: Records For Secondary Market Trading Account Transactions

Taken from our Series 53 Online Guide

Records for Secondary Market Trading Account Transactions

Broker-dealers must keep and maintain records for each of their secondary market trading accounts. Records for both individual and joint accounts must show:

• The description and aggregate par value of the securities

• All orders received for the purchase of the securities from the account

• The date of closing of the account

• A reconciliation of profits and expenses of the account

Recall that a joint trading account is one t

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