Iowa Admin. Code r. 191-50.14 - Broker-dealer record-keeping requirements

Current through Register Vol. 44, No. 6, September 22, 2021

(1) Unless otherwise provided by an SEC order, each broker-dealer registered or required to be registered under the Act shall make, maintain and preserve books and records in compliance with SEC Rules 17a-3 ( 17 CFR24017a-3. ), 17a-4 ( 17 CFR24017a-4. ), 15c2-6 ( 17 CFR240.15c2 - 6 ) and 15c2-ll ( 17CFR240.15c2 -l l).
(2) To the extent that the SEC amends the above-referenced rules, broker-dealers complying with such rules as amended shall not be subject to enforcement action by the administrator for violating this rule to the extent that the violation results solely from the broker-dealer's compliance with the amended rule.

This rule is intended to implement Iowa Code section 502.411(3).

Notes

Iowa Admin. Code r. 191-50.14

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