Series 28: Six-Year Minimum

Taken from our Series 28 Online Guide

Six-Year Minimum

Every broker-dealer must preserve any account cards or records relating to the terms and conditions of the opening and maintenance of a customer’s account for not less than six years after the account is closed. All other customer account records must be preserved until at least six years after the date the account is closed, replaced, or updated, whichever is earliest.

SEC Rules 17a-4(c) and (e)

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