Alex:

You need to look in SEC Rule 17(a), not CFR Section 17.  Also look at 
FINRA's rules on recordkeeping for brokers and dealers of securities.

Tod Chernikoff, CRM
E-mail: tchernikoff@hotmail
Twitter: tchernik

--------------------------------------------------
From: "Alex Perez" <[log in to unmask]>
Sent: Thursday, March 17, 2011 22:08
To: <[log in to unmask]>
Subject: [RM] Searching for SEC record-keeping requirements

> Hello Group,
>
> I'm carrying out research on types of documents that the SEC requires 
> imvestment banks to keep.
>
> I've tried the CFR Sec 17, but find it very confusing and hard to read. 
> I've tried searching publications or reference materials that can 
> summarize the information, but I have had no luck.
>
> I would be very grateful if abnone can suggest any materials or point me 
> in the right direction.  Feel free to respond on the list serve or to me 
> personally at [log in to unmask]
>
> Thank you!!
> Alex Perez
>
>
>
>
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> 

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