Business, 27.09.2019 03:10 gabrieljerron

An agent of a broker-dealer that works out of a branch office during the week sends e-mails to customers about potential investment ideas from his home when he works during weekends. which statement is true?

a. these e-mails are not required to be retained because they originate from the agent's home and not from the agent's regular place of business
b. these e-mails are not required to be retained because only physical, not electronic, records are subject to the record retention requirements
c. these e-mails must be retained for a minimum of 1 year
d. these e-mails must be retained for a minimum of 3 years

Answers: 3

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An agent of a broker-dealer that works out of a branch office during the week sends e-mails to custo...