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picture1_Certificate Word Format 29497 | Books And Records Requirements Checklist For Broker Dealers


picture2_Certificate Word Format 29497 | Books And Records Requirements Checklist For Broker Dealers picture3_Certificate Word Format 29497 | Books And Records Requirements Checklist For Broker Dealers

 109x       Filetype DOCX       File size 0.08 MB       Source: www.finra.org


File: Certificate Word Format 29497 | Books And Records Requirements Checklist For Broker Dealers
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 ...

icon picture DOCX Filetype Word DOCX | Posted on 07 Aug 2022 | 2 years ago

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...Books and records requirements checklist for broker dealers the following summarizes some of that are required to create retain in accordance with rules a under securities exchange act sea finra reminds firms this is not complete list rule blotters or similar other original entry containing an itemized daily record all purchases sales receipts deliveries including certificate numbers disbursements cash debits credits such must show account which each transaction was effected name amount unit aggregate purchase sale price if any trade date designation person from whom purchased received sold delivered retention period six years first two easily accessible place source general ledgers reflecting assets liabilities income expense capital accounts customers ledger itemizing separately as margin every customer dealer partners thereof commodities secondary subsidiary transfer dividends interest borrowed loaned monies together collateral therefor substitutions failed receive deliver long shor...
								

							

						
	
												
				
					
					
					
			
					
				
				
		
	

	
		





	

	
				

						

						
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										Category:  Uncategorized / Uncategorized 
										
Posted on: 07 Aug 2022 | 2 years ago
										
										
Tag:
																																		download docx,
																								books,
																								records,
																								requirements,
																								checklist,
																								broker,
																								dealers,
											                                        
																				
Filetype: DOCX
										
File size: 0.08 MB
										
Views: 109x
										
Link recommended: filekonstruksi.com
										
										
										
										

										
Uploaded by:
										Wan learn
											

												Wan learn