subject
Social Studies, 07.01.2020 23:31 mathwhiz9125

If a broker/dealer decides to store records electronically, which of the following criteria must be met?

i. the records must be stored in a manner which allows the broker/dealer to produce them upon request in a prompt manner.
ii. publication of such electronic records must take place at least on an annual basis.
iii. duplicate copies of the records must be maintained at two separate locations.
iv. records must be stored in a format which does not allow the modification of files.

ansver
Answers: 3

Other questions on the subject: Social Studies

image
Social Studies, 21.06.2019 13:30, 902coo
Why are political parties important? select all that apply. so a country's leadership can understand where the country is headed. issues can be debated on and decided with a party then offered to the public. a country is not subject to the whims of one person who maintains absolute power. stances on issues remain somewhat flexible and allows a country to change its mind about the direction it wants to go as they go through the voting process. a coalition government is as strong as a two party majority government.
Answers: 1
image
Social Studies, 21.06.2019 22:00, syulerio8418
What is the term used for the belief that the white race is superior to all other races
Answers: 2
image
Social Studies, 22.06.2019 14:30, elizm0427
Many of the mauryan empire’s huge pillars originally were transported from quarries in india. a. central b. eastern c. southern d. western
Answers: 1
image
Social Studies, 23.06.2019 06:30, liqliq223
Which of the following statements best describes the concept behind labor unions?
Answers: 3
You know the right answer?
If a broker/dealer decides to store records electronically, which of the following criteria must be...

Questions in other subjects: