What are the brokers obligations to maintain a backup copy of the bookkeeping records?
A. A backup copy of all journal and ledger records must be made on each day on which entries are made in the computerized bookkeeping system. The backup copy must be made on a disk or other medium which is separate and distinct from that on which the source documents reside. Monthly bank reconciliations and trial balances must be copied to a separate medium or printed immediately upon completion.
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