Md. Code Regs. 02.02.02.10

Current through Register Vol. 51, No. 24, December 2, 2024

Section 02.02.02.10 - Book and Record-Keeping Requirements for Broker-Dealers

A. A broker-dealer registered or required to be registered in Maryland shall make and keep books and records as set forth in 17 CFR § 240.17a-3 (SEC Rule 17a-3, Records to be Made by Certain Exchange Members, Brokers and Dealers), which is incorporated by reference.

B. A broker-dealer registered or required to be registered in Maryland shall preserve all records required to be made under this regulation as set forth in 17 CFR § 240.17a-4 (SEC Rule 17a-4, Records to be Preserved by Certain Exchange Members, Brokers and Dealers), which is incorporated by reference.

Regulations .10 adopted effective January 17, 1994 (21:1 Md. R. 26)