Securities dealers must keep the following records:
- Large cash transaction reports.
- Signature cards.
- Account operating agreements.
- Client corporate records.
- Account holder information.
- Account applications.
- Confirmations of transactions.
- Trade authorizations.
- Powers of attorney.
- Joint account agreements.
- Client correspondence regarding the operation of accounts.
- Account statements.
- Suspicious transaction reports.
- Beneficial ownership records.