Series 54: G-20 Recordkeeping Requirements

Taken from our Series 54 Online Guide

G-20 Recordkeeping Requirements

Records relating to gifts and gratuities, subject to MSRB Rule G-20, must be maintained for five years including:

Records concerning compliance with the gifts and gratuities rule (G-20)

Separate records of all gifts and gratuities subject to the G-20 limitations

Records of all agree

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