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The SEC s Books and Records Requirements The Basics
Item No.: 360T3fee973a87404bbb9a093a9f7e8dc7461a0b324b643849
Product Name: The SEC s Books and Records Requirements The Basics
Brand: 360training.com | UPC: 8716221480845272682980566414621a0b324b643849e7833f
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Category: HR, Ethics & Compliance > Banking & Financial Compliance > FINRA Compliance

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The SEC s Books and Records Requirements The Basics
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.  
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