FINRA RULE 4511: General Requirements

FINRA Rule 4511 provides general recordkeeping requirements for FINRA’s financial and operational rules. These recordkeeping requirements clarify that firms are required to:
(1) make and preserve books and records as required byt the Securities Exchange Act (SEA), applicable SEA rules, and FINRA; and
(2) preserve books and records required to be made per FINRA rules in a format complying with SEA Rule 17a-4.

FINRA Rule 4511(b) requires firms to retain FINRA records and books, which do not have a specified retention period under FINRA rules or applicable Exchange Act rules, for at least six years.

FINRA Rule 4511(c) requires firms to retain books and records pursuant to FINRA in a format and media complying with SEA Rule 17a-4.

Link to Rule: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=9957
Helpful Link: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=10105

Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

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