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Books and Records Requirements Checklist

Books and Records Requirements Checklist for Broker-Dealers

The following checklist summarizes some of the books and records that broker-dealers are required to create and retain in accordance with Rules 17a-3 and 17a-4 under the Securities and Exchange Act of 1934 (“SEA”).

FINRA reminds firms that this is not a complete list of books and records requirements. Those broker-dealers that engage in securities-based swaps are also subject to specific recordkeeping requirements.

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FINRA Compliance Tool Disclaimer

This optional tool is provided to assist member firms. This tool is provided as a starting point and you must tailor this tool to reflect the size and needs of your firm. Using this tool does not guarantee compliance with or create any safe harbor with respect to FINRA rules, the federal securities laws or state laws, or other applicable federal or state regulatory requirements. This tool does not create any new legal or regulatory obligations for firms or other entities.

Updates – This tool was last updated on January 20, 2022. This tool does not reflect any regulatory changes since that date. FINRA periodically reviews and update these tools. FINRA reminds member firms to stay apprised of new or amended laws, rules and regulations, and update their WSPs and compliance programs on an ongoing basis.

Member firms seeking additional guidance on certain regulatory obligations should review the relevant FINRA Topic Pages.

Staff Contact(s) – FINRA's Office of General Counsel (OGC) staff provides broker-dealers, attorneys, registered representatives, investors and other interested parties with interpretative guidance relating to FINRA’s rules. Please see Interpreting the Rules for more information.

OGC staff contacts:

Afshin Atabaki and Nicholas Vitalo
FINRA, OGC
1735 K Street, NW
Washington, DC 20006
(202) 728-8000