Does anybody have a list of book keeping retention periods in total?

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Including msrb retention periods bc I know theirs are slightly different.

Thanks in advance

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Hi @Alright_crimson_gall, welcome, and thanks for posting!

Here’s a list of the main record-keeping requirements to be aware of:

3 years

  • Employee records (U4, U5, fingerprints)
  • Trade confirmations
  • Customer statements
  • Public communications
  • Trial balances

4 years

  • Customer complaints (FINRA)

5 years

  • Currency transactions reports (CTRs)
  • Suspicious activity reports (SARs)
  • Customer identification program (CIP) information

6 years

  • Blotters
  • Customer account records (new account forms, agreements)
  • Customer complaints (MSRB)

Lifetime

  • Stock certificates
  • Partnership agreements
  • Articles of incorporation
  • Meeting minutes
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Thank you! This is perfect

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