Series 22: Preservation Of Unusual Activity Reports

Taken from our Series 22 Top-off Online Guide

Preservation of Unusual Activity Reports

Every member firm and its associated persons must maintain and preserve in an easily accessible place all reports produced to review for unusual activity in customer accounts until 18 months after the date the report was generated.

SEC Rule 17a-4(e)(8)

Since you're reading about Series 22: Preservation Of Unusual Activity Reports, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 22
Please Enable Javascript
to view this content!