Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart D of part 1010 of this chapter for recordkeeping requirements contained in that subpart which apply to brokers or dealers in securities.
source: 75 FR 65812, Oct. 25, 2010, unless otherwise noted.
cite as: 31 CFR 1023.400