Series 22: 6.4.6. Preservation Of Other Records

Taken from our Series 22 Top-off Online Guide

 6.4.6.  Preservation of Other Records

Some account information needs to be kept beyond the termination date of the account.

Each member firm must maintain the following information for each customer account:

customer’s name and residence

whether customer is of legal age

a principal’s signature denoting that the account has been accepted in accordance with the member’s policies and procedures

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