Series 22: 6.4.5. Three-Year Records

Taken from our Series 22 Top-off Online Guide

 6.4.5.  Three-Year Records

Most other records must be retained for three years. They include:

a memorandum of each brokerage order given or received for the purchase or sale of securities for customer and firm accounts

time of execution or cancellation

a memorandum of each purchase and sale for the firm’s acco

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