In-Network Mobile recording

In-Network Mobile recording

FINRA 4511: General Requirements

Highlights

  • Members shall make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act rules.
  • Members shall preserve for a period of at least six years those FINRA books and records for which there is no specified period under the FINRA rules or applicable Exchange Act rules.
  • All books and records required to be made pursuant to the FINRA rules shall be preserved in a format and media that complies with SEA Rule 17a-4.

Useful links

FINRA 4511 – General Requirements

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