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
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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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