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BD- Broker-Dealer Books & Records File Management Directory
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BD- Broker-Dealer Books & Records File Management DirectoryThe Updated Broker Dealer Books & Records File Management Directory serves as a useful guide when organizing and mapping a broker dealers electronic books & records in accordance with FINRA Rule 4511 and SEC Rule 17a 3. This Guide also assists broker dealer firms in formatting and labeling electronic books & records in a file sub file directory format to maintain organized records as well as facilitate the production of books and records during a
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The Updated Broker-Dealer Books & Records File Management Directory serves as a useful guide when organizing and mapping a broker-dealer’s electronic books & records in accordance with FINRA Rule 4511 and SEC Rule 17a-3. This Guide also assists broker-dealer firms in formatting and labeling electronic books & records in a file/sub-file directory format to maintain organized records as well as facilitate the production of books and records during a regulatory examination. Members also downloaded the FINRA Books and Records Requirements Checklist.
Version/Update: V.3/June 5, 2023
Total Page Count/Format: 5/.pdf
Source/Author(s): Connexien
BD- Broker-Dealer Books & Records File Management Directory
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59544713963
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