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1.0BD Consulting Associateshttps://www.bdcaonline.commainuserhttps://www.bdcaonline.com/author/mainuser/Books And Records Review - BD Consulting Associatesrich600338<blockquote class="wp-embedded-content" data-secret="8TdD2oe7UM"><a href="https://www.bdcaonline.com/our_services/books-and-records-review/">Books And Records Review</a></blockquote><iframe sandbox="allow-scripts" security="restricted" src="https://www.bdcaonline.com/our_services/books-and-records-review/embed/#?secret=8TdD2oe7UM" width="600" height="338" title="“Books And Records Review” — BD Consulting Associates" data-secret="8TdD2oe7UM" frameborder="0" marginwidth="0" marginheight="0" scrolling="no" class="wp-embedded-content"></iframe><script>
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https://www.bdcaonline.com/wp-content/uploads/2022/08/Books-And-Records-Review-1.jpg1170400SEC Rules 17a-3 and 17a-4 and NASD Rule 3110 mandate which records must be maintained by broker/dealers and for how long. The consultants at BDCA have many years of experience in the brokerage industry and can help you determine the most efficient way to comply with the provisions of the NASD and SEC books and […]