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.
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.
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
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