books-and-records

Under FINRA Rule 4513, customer complaints must generally be retained for a minimum of four years. This recordkeeping requirement ensures compliance during regulatory examinations and supports dispute resolution processes.

WORM (Write Once Read Many) storage is an electronic archiving format preventing record alteration or deletion. SEC Rule 17a-4 requires it to preserve the integrity and audit trail of digital broker-dealer documents.

To design a retention schedule under SEC Rule 17a-3, identify records your firm generates, categorize them by type, and assign mandatory retention periods based on regulatory requirements to ensure full compliance.

Yes, electronic communication archiving must comply with SEC Rules 17a-4 and 204-2, alongside FINRA requirements. These rules mandate specific retention periods, WORM storage, and accessible audit trails for digital communications.

When selecting an archiving vendor for investment adviser records, verify the solution supports WORM storage, provides complete audit trails, and meets retention schedule requirements outlined in SEC Rules 17a-4 and 204-2.

Yes, this guide addresses regulatory examination requests by helping you maintain compliant trade records under SEC rules. It ensures your document retention and electronic storage practices meet examination standards.