Series 99: 2.4.5 Three-Year Records

Taken from our Series 99 Top-off Online Guide

2.4.5 Three-Year Records

Most other records must be retained for three years. They include:

• A memorandum of each brokerage order given or received for the purchase or sale of securities for customer and firm accounts. (See above.)
• A memorandum of each purchase and sale for the firm’s account. This must show the same information as above.
• Copies of customer confirmations and copies of notices of all other debits and credits for customer accounts.
• Identification data on beneficial owners of all accounts. This must include the beneficial owners’ names and addresses.
• The applic

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