1 Miss. Code. R. 14-5.15 - Record Keeping Requirements of Broker-Dealers
A. Unless otherwise
provided by order of the SEC, each broker-dealer registered or required to be
registered under this Act shall make, maintain, and preserve books and records
in compliance with SEC Rules 17a-3 (17 C.F.R. §
240.17a-3), 17a-4
(17 C.F.R. §
240.17a-4), 15c2-6 (17 C.F.R. § 240.15c2-6),
and 15c2-11 (17 C.F.R. § 240.15c2-11).
B. To the extent that the SEC promulgates
changes to the above-referenced rules, broker-dealers in compliance with such
rules as amended shall not be subject to enforcement action by the Division for
violation of this Rule to the extent that the violation results solely from the
broker-dealer's compliance with the amended rule.
Notes
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