Series 53: 6.3.1.2. Ledger Account Records

Taken from our Series 53 Online Guide

6.3.1.2. Ledger Account Records

A general ledger is a complete historical record of a broker-dealer’s securities transactions over the life of the firm.

A customer ledger is a historical record of a broker-dealer’s securities transactions for each of its customer accounts.

Account records for both customer and general ledgers must reflect all:

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