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The SEC's Books and Records Requirements - The Basics

Understand what records you must create and the requirements for their maintenance and retention under SEC Rules 17 a-3 & a-4.

Includes: Certificate of Completion

Duration: 1 Hour(s) | Language: English

About this Course

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. 

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