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Frequently Asked Questions
  What rules are broker dealers required to abide by regarding its books and records?
Identification Number 1606

Broker dealers are required to maintain all books and records as required under Securities Exchange Act Rules 17a-3 and 17a-4, and PHLX Options 6E, Section 1.

Publication Date*: 4/28/2021 Mailto Link Identification Number: 1606
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