A volume that I like is the Plain English Guidebook to SEC Re
Hi Alex:

A volume that I like is the Plain English Guidebook to SEC Recordkeeping and 
Retention by Crimmins, Goins, and Meshulam. It's available through Amazon.com. 
Although published in 2005, it should help.

Best wishes,
Michael DeVanna, MLS, CRM
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________________________________
From: Alex Perez <[log in to unmask]>
To: [log in to unmask]
Sent: Thu, March 17, 2011 10:08:02 PM
Subject: 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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