Sec. 48-4-010 - BOOKS AND RECORDS

ยง 48-4-010. BOOKS AND RECORDS

Unless otherwise provided by order of the SEC, all broker-dealers 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 C.F.R. 240.17a-3), 17a-4 (17 C.F.R. 240.17a-4), and 15c 3-3 (17 C.F.R. 240.15c3-3).

(Amended effective June 5, 2017. Amended effective November 27, 2019)

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