Regulations & ConductPregunta 121 de 125
Under FINRA rules, most customer account records and communications must generally be:
a.Destroyed after 30 days
b.Kept only if the customer requests it
c.Preserved for specified retention periods, often several years, and made available to regulators
d.Stored only in paper form
Explicación
FINRA and SEC recordkeeping rules require firms to preserve books, records, and communications for specified periods, commonly several years, in an accessible format for regulatory examination. Records such as blotters, customer account information, and communications must be retained and readily retrievable.
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