9.5.2. Six-Year Records
If SEC or FINRA rules do not specify a time period for how long a specific type of record should be retained, it should be kept at least six years. Additionally, the following types of records must be kept for six years:
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. They can include the following:
• The account from which a cash transaction was effected
• The name and amount of securities involved
• The unit and aggregate purchase or sale price
• The trade date
• The name or other designation of the person from whom securities were purchased or received or to whom they were sold or delivered
General ledger. This ledger includes records of all assets and liabilities, income and expenses, and capital accounts.
Customer ledgers. These ledgers separately itemize each cash and margin accoun