Series 27: Six-Year Minimum

Taken from our Series 27 Online Guide

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Six-Year Minimum

Every broker-dealer must preserve the following records for a period of not less than six years:

• Blotters
• General ledgers
• Customer ledgers
• Securities ledgers
• The name of a person for each office authorized to explain the types of records maintained at that offi

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Series 27: Six-Year Minimum

Taken from our Series 27 Online Guide

Six-Year Minimum

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