Required Recordkeeping


This course provides a review of the requirements to make and retain accurate books and records. Included are illustrations of the consequences of failing to comply with these requirements based on disciplinary actions.

Learning Objectives

Upon completion of this course, students will be able to:

  • understand the books and records rules and regulations
  • understand your role in creating these records
  • understand your role in maintaining these records

Designed For

All registered representatives and principals

Find this course for your license:

License or Certification