Series 65: 10.11.16.9. Recordkeeping Requirements

Taken from our Series 65 Online Guide

10.11.16.9. 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

Gove

Since you're reading about Series 65: 10.11.16.9. Recordkeeping Requirements, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 65
Please Enable Javascript
to view this content!