Sec. 02.02.02.10. Book and Record-Keeping Requirements for Broker-Dealers

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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.

                    
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