Firm Element The SEC's Books and Records Requirements - The Basics

The SEC's Books and Records Requirements - The Basics

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1

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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, the student 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





End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)


Quiz Information

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



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

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