FINRA Webcast
Books and Records: What a Registered Representative Needs to Know
This new webcast discusses what registered representatives need to know to meet their books and records obligations for new account forms and order tickets. Maintaining accurate records related to new accounts and order tickets helps to ensure compliance and provides clarity for firms and their customers.
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Related Resources:
NASD Rule 3110 – Books & Records
NASD Rule 2310 – Recommendations to Customers (Suitability)
NASD Rule 2510 – Discretionary Accounts
NASD Notice to Member 05-49 – Safeguarding Confidential Customer Information
SEC Books and Records Amendments – Effective May 2, 2003
Regulation S-P – Privacy of Consumer Financial Information
Audio-Only Version (podcast) View Other Available Webcasts
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