2009 April No.18 – BROKER COMPLIANCE


18 How long is a broker required to retain records according to the requirements set forth in 19 CFR?

A. 1 year other than powers of attorney

B. 3 years

C. 5 years other than powers of attorney

D. 7 years

E. 10 years other than powers of attorney

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The Answer is: C

Citation: 19 CFR 111.23(a)

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