Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 48 - DEPARTMENT OF BANKING AND FINANCE
Chapter 4 - BROKER-DEALERS
Section 48-4-011 - BOOKS AND RECORDS
Universal Citation: 48 NE Admin Rules and Regs ch 4 ยง 011
Current through March 20, 2024
Unless otherwise provided by order of the SEC, all broker-dealers registered or required to be registered under the Act shall make, maintain and preserve books and records in compliance with SEC Rules 17a-3 (17 C.F.R. 240.17a-3), 17a-4 (17 C.F.R. 240.17a-4), and 15c3-3 (17 C.F.R. 240.15c3-3).
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