MSRB complaints are kept on file for 6 years?
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Hi @Paul - you’re right. MSRB requires complaints to be held on file for 6 years, while FINRA only requires a 4 year holding period. It’s definitely a bit confusing! Be sure to pay close attention to this type of question, as they should mention MSRB or FINRA. If it’s vague, I’d go with 4 years, as this is a FINRA exam.
Hopefully this makes sense. Please let me know if you have any other questions.
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