Expand All 4510. Books and Records Requirements 4511. General Requirements 4512. Customer Account Information 4513. Records of Written Customer Complaints 4514. Authorization Records for Negotiable Instruments Drawn From a Customer's Account 4515. Approval and Documentation of Changes in Account Name or Designation 4517. Member Filing and Contact Information Requirements 4518. Notification to FINRA in Connection with the JOBS Act 4520. Financial Records and Reporting Requirements 4521. Notifications, Questionnaires and Reports 4522. Periodic Security Counts, Verifications and Comparisons 4523. Assignment of Responsibility for General Ledger Accounts and Identification of Suspense Accounts 4524. Supplemental FOCUS Information 4530. Reporting Requirements 4540. Reporting Requirements for Clearing Firms 4550. ATS Reporting 4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures 4560. Short-Interest Reporting 4570. Custodian of Books and Records 4580. Books and Records Requirements for Government Distribution and Solicitation Activities 4590. Synchronization of Member Business Clocks Book traversal links for 4500. BOOKS, RECORDS AND REPORTS ‹ 4380. Mandatory Participation in FINRA BC/DR Testing Under Regulation SCI Up 4510. Books and Records Requirements ›