Series 3: 7.3.4. Recordkeeping Requirements

Taken from our Series 3 Online Guide

7.3.4. Recordkeeping Requirements

All books and records must be kept for a period of five years, and they must be kept readily accessible during the first two years. These books and records must be open to inspection by any representative of the CFTC or the U.S. Department of Justice.

CFTC Regulation 1.31

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