Series 79: 9.5.6. Records To Be Kept Current For Each Office

9.5.6. Records to be Kept Current for Each Office

Broker-dealers must also maintain several other categories of records for which the rules do not specify a retention period. Rather, these records must simply be kept current for each office. Such records include:

• Records of all agreements pertaining to the relationship between the broker-dealer and each associated person, including a summary of the associated person’s compensation arrangements and a description of the method by which compensation is determined, as well as listi