Series 6: 7.5.3.2. Six-Year Records

Taken from our Series 6 Online Guide

7.5.3.2. Six-Year Records

Records associated with blotters, ledgers, and securities must be retained for six years. These items may be defined as follows.

Blotters. These are daily records containing itemized reports of all purchases and sales of securities, receipts and deliveries of certificates, receipts and disbursements of cash, and all other debits and credits.

General ledger. This ledger includes records of all assets and liabilities, income and expenses, and capital accounts.

Customer ledgers

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