The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain...

Vendor: FINRA
Product: Series-63
Update on: Jul 25, 2025
Questions: 251

FINRA Series-63 Question Answer

The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain their records for at least

three years.

five years.

C. seven years.

Investment advisers must maintain their records for as long as they remain registered with the state.

FINRA Series-63 Summary

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