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Sunday, March 30, 2025
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Item No.:
360T3fee973a87404bbb9a093a9f7e8dc7461a0b324b643849
Product Name:
The SEC s Books and Records Requirements The Basics
Brand:
360training.com |
UPC
:
8716221480845272682980566414621a0b324b643849e7833f
Condition:
New
Price:
$
30.00
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Below $
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Category:
HR, Ethics & Compliance > Banking & Financial Compliance > FINRA Compliance
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Product 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.ÂÂ
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