Series 3: 7.5.3. Recordkeeping Requirements

7.5.3. Recordkeeping Requirements

Each registered CTA must make and keep the following books and records at its main business office.

Concerning the CTA’s customers:

• • The name and address of each customer and each subscriber
• • The customer’s acknowledgement that it has received a disclosure document
• • All powers of attorney and other documents authorizing the CTA to the customer’s account
• • All other written agreements entered into by the CTA with any customer
• • A list or other record of all the CTA’s customer commodity interest accounts and their transactions
• • Copies of each confirmation of a commodity interest transaction, each purchase and sale statement, and each monthly statement received from an FCM or swap dealer
• • The original or a copy of each report, letter, advertisement, or other literature or advice distributed by the CTA to any customer, showing the first date of distribution

Concerning the CTA: