SIE Suppliment Flashcards
1
Q
Documents that must be held for 3 years by firm
A
Employee Records, Trade confirmations, customer statements, Public comunications
2
Q
Documents that must be held for 4 years by firm
A
Compaints (FINRA)
3
Q
Documents that must be held for 5 years
A
CTRs (Currency Transaction Reports), Suspicious activity reports (SARs), CIP information
4
Q
Documents that must be held for 6 years
A
Blotters (internal trading records), Customer account records, Complaints (MSRB)
5
Q
Documents that must be held for lifetime
A
Stock certificates, Partnership agreements, Articles of incorporation, Meeting minutes
