US SEC Regulation Best Interest (17 CFR 240.15l-1)
Records under Exchange Act Rules 17a-3 and 17a-4 – US SEC Regulation Best Interest (17 CFR 240.15l-1)

US SEC Regulation Best Interest (17 CFR 240.15l-1) 17a4-e5: Preserve the Regulation Best Interest records for six years

What does 17a4-e5 require?

The account record information under Rule 17a-3(a)(17) and every record made under paragraph (a)(35) must be kept for at least six years, measured from whichever comes first: closure of the account, or the collection, provision, replacement or updating of the information. Superseded profile versions therefore stay on file for six years after replacement rather than being overwritten.

Maintained by Gerard Blokdyk

Other controls in Records under Exchange Act Rules 17a-3 and 17a-4 – US SEC Regulation Best Interest (17 CFR 240.15l-1)

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The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.