Series 99: 1.2.3.6.2 Changes In Preservation Of Customer Accounts

Taken from our Series 99 Top-off Online Guide

1.2.3.6.2 Changes in Preservation of Customer Accounts

Firms must preserve a record of the customer account information and any updates for at least six years after the date the account is closed. Any time the account information is updated, the information must be preserved for at least six years after the update.

FINRA Rule 4512

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