Series 66: 9.4.16.9. Recordkeeping Requirements

Taken from our Series 66 Online Guide

9.4.16.9. Recordkeeping Requirements

Investment advisers must maintain records of political contributions made to governmental entities and officials of these entities. These records must include a list of:

• The contributors and recipients, and the amounts and dates of the contributions or payments

• Names, addresses, and titles of the adviser’s covered associates

• Governmental entities that the investment adviser does business with

• Governmental entities that inves

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