Series 82: 3.6.1. Lifetime And Six-, Five-, Four-, And Three-Year Records

Taken from our Series 82 Top-off Online Guide

3.6.1. Lifetime and Six-, Five-, Four-, and Three-Year Records

Section 17a of the Securities Exchange Act outlines rules for what records to keep and for how long. The general tier of recordkeeping is three years, six years, and lifetime. Additionally, the firm must keep most records easily accessible for the first two years.

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