FINRA Compliance The SEC's Books and Records Requirements - The Basics

The SEC's Books and Records Requirements - The Basics

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  • Course Delivery: On Demand
  • Duration: 1 

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Description

The SEC books and records regulations are primarily found as Rule 17 a-3 and Rule 17 a-4. Rule 17 a-3 describes what records must be created while Rule 17 a-4 defines maintenance and retention periods for these records. 

 

Course Objectives

At the conclusion of this course, you should be able to:

  • List the components of a new account record.
  • Describe the requirements for delivery of new account information.
  • Distinguish between blotters and ledgers.
  • Outline the record retention requirements.
  • Describe three year, six year, and lifetime records.
 

Topics Covered

This course covers the following topics:

  • Content mandated on national core exam for Property and Casualty exam
  • State Law regulations for students' home state
  • Questions on national and state law topics as shown in state outline
 

Subject Matter Expert

This course is created and brought to you by 360training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360training's high-quality e-learning courses assist thousands of working professionals in a wide range of disciplines, helping them to succeed in today's marketplace, to renew licenses, to acquire certification or to prepare for a new profession.

 

End of Course Instructions

Upon successful completion of the course, you will be able to print a certificate of completion from your training page.

 

Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.

 

Exams

You will be required to pass the final exam with a 70% in order to receive course credit.

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