Six-Year Minimum Requirement
Brokers, dealers, and municipal securities dealers must preserve the following records for a period of not less than six years:
• Blotters
• General ledgers and customer ledgers
• Securities records
• Records concerning primary offerings (e.g., underwriting agreement, syndicate letter)
• Records of customer complaints
• Financial records subject to the net capital rule
• Written record of all designated Municipal Securities Principals and thei