BD- Broker-Dealer List of Books and Records & Retention Requirements Resources Total Page Count: 1

Total Page Count: 1

Source/Author(s): Connexien

Upon completion and signing

3/December 2

The Investment Adviser New Account Client Profile Form serves as an important part of an investment adviser’s overall new client onboarding process

BD- Broker-Dealer List of Books and Records & Retention Requirements Resources Total Page Count: 1The updated Broker Dealer List of Books and Records & Retention Requirements serves as useful guide in determining the specific types of books and records required of broker dealers as well as the timeline in which each record must be maintained in accordance with SEC Rule 17a 3 & 17a 4. The list also provides a detailed description of each record along with the corresponding retention requirements and specific rule reference. Version Update: V. 3