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What records will the examiners ask to see?

April 26, 2017Examiners records

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What records will the examiners ask to see?

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Examiners will review documents relating to securities sales including, but not limited to: sales ledgers; receipt and disbursement blotters; bank records; advertising; complaints; correspondence; sales literature; supervisory procedures; and client files. Investment advisers are required to maintain such additional records as: disclosure documents; corporate or partnership records; client contracts and solicitor agreements.