Broker-Dealer Recordkeeping Checklist

Summary

This Broker-Dealer Recordkeeping Checklist provides a list of records and other items that must be maintained by broker, dealers, and members of national securities exchanges who transact business in securities with persons other than other such members, and the periods for which they must be maintained, under Rules 17a-3 (17 C.F.R. § 240.17a-3) and 17a-4 (17 C.F.R. § 240.17a-4) under the Securities Exchange Act of 1934, as amended (Exchange Act), and includes amendments adopted by the Securities and Exchange Commission (SEC) in September 2019 in SEC Release No. 34-87005, 2019 SEC LEXIS 3172, prescribing recordkeeping requirements for security-based swaps. Unless otherwise noted, all rule references are to Exchange Act rules.