Series 66: 9.4.16.9. Recordkeeping Requirements

9.4.16.9. Recordkeeping Requirements

Investment advisers must maintain records of political contributions made to governmental entities and officials of these entities. These records must include a list of:

• The contributors and recipients, and the amounts and dates of the contributions or payments

• Names, addresses, and titles of the adviser’s covered associates

• Governmental entities that the investment adviser does business with

• Governmental entities that inves