Social Studies, 07.01.2020 23:31 mathwhiz9125
If a broker/dealer decides to store records electronically, which of the following criteria must be met?
i. the records must be stored in a manner which allows the broker/dealer to produce them upon request in a prompt manner.
ii. publication of such electronic records must take place at least on an annual basis.
iii. duplicate copies of the records must be maintained at two separate locations.
iv. records must be stored in a format which does not allow the modification of files.
Answers: 3
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If a broker/dealer decides to store records electronically, which of the following criteria must be...
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