Series 51: Six-Year Minimum Requirement

Taken from our Series 51 Online Guide

Six-Year Minimum Requirement

Every dealer 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

Records of customer complaints

Financial records subject to the net capital rule

The written record of all designated Municipal Securities Principals and their responsibilities

Political contributions records

Records of gifts and gratuities and compensation for services perfor

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