SIE Exam Practice Question 759
Question: 759
Firms must retain trade blotters containing all purchases and sales of securities for at least __________ years, and they must keep copies of confirmations for __________ years. For the first __________ years, these records must be kept in an easily accessible location.
Correct Answer: D
Explanation:
Firms must retain trade blotters containing all purchases and sales of securities for at least 6 years, and they must keep copies of confirmations for 3 years. For the first 2 years, these records must be kept in an easily accessible location.
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