Series 79: 9.5.7. Methods Of Retention

Taken from our Series 79 Online Guide

9.5.7. Methods of Retention

A firm must keep most records easily accessible for the first two years they are retained. For example, a customer trade confirmation must be kept easily accessible for two years, and then kept for an additional year (whether easily accessible or not), for a total of three years.

All records may be kept either as a hard copy or as an electronic f

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