BOOKS & RECORDS REVIEW

SEC rules stipulate minimum requirements regarding the kinds of records and documents maintained by a firm and the length of time that information must be kept. The Books and Records Rules were recently expanded to include additional types of records that firms must keep and to specify where those records must be maintained.

If you are unsure of your firm's compliance with Rule 17a-3 and Rule 17a-4 under the Securities Exchange Act of 1934 (the "Books and Records Rules"), or are preparing for an upcoming FINRA or SEC examination, Brokerage Consulting Group can review your firm's books and records for accuracy and compliance. Our consultants will visit your office(s) and assess the firm's current record keeping practices and system of supervision. Some documents we routinely review include:

• Order tickets
• Blotters
• Exception reports
• Customer account records
• Customer complaint records
• Communication with the public records
• Associated persons records
• Corporate documents

After our evaluation is complete, we will provide a written report of our findings, as well as suggestions for changes. Call today to schedule your evaluation.