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877-488-9308
Books and Records
Overview
This course will provide an overview of the Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules on books and records, as well as the sanctions for failing to comply with them.
Find this course for your license
License or Certification
Firm Element
Regulator
Firm Element
Type
Program Training
Learning Objectives
Understand the recordkeeping requirements for firms
Recognize the standards for record preservation and accessibility
Identify required customer account information and documentation
Understand the role of recordkeeping in investor protection and compliance
Designed For:
Registered Representatives and Supervisors
Course Information
Adding additional credit may change exam requirements.