Laws & Regulations第 38 / 100 题
Under NASAA model recordkeeping rules, a state-registered investment adviser must generally preserve required books and records for a minimum of:
a.Six months
b.One year
c.Two years
d.Five years, with the first two years in an easily accessible location
解析
State-registered advisers must generally keep required records for five years, with the most recent two years readily accessible, often at the principal office. This ensures records are available for examination. Shorter periods do not meet the model rule.
法律依据: NASAA Model Rule免费刷完整 100 道题库 — 无需注册。
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