Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the
U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial
Industry Regulatory Authority (FINRA).
United States
Corporate/Commercial Law
Originally published by LexisNexis
Ernest E. Badway, Joshua Horn and Benjamin H. McCoy authored the
LexisNexis article, "Broker-Dealer Record Keeping
Requirements."
View the article here.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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