4511. General Requirements
(a) Members shall make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act rules.
(b) Members shall preserve for a period of at least six years those FINRA books and records for which there is no specified period under the FINRA rules or applicable Exchange Act rules.
(c) All books and records required to be made pursuant to the FINRA rules shall be preserved in a format and media that complies with SEA Rule 17a-4.
| Adopted by SR-FINRA-2010-052 eff. Dec. 5, 2011. Selected Notice: 11-19. |
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- Regulatory Notice 11-39August 18, 2011
- Regulatory Notice 11-19April 27, 2011