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
Regulator
Type
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.
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S1-31 - Framework