Books & Records Requirements

NCCI can assist your organization in fulfilling books and records requirements, and can keep you apprised of any changes and/or modifications to requirements and/or rules to ensure your organization´s continued compliance.

Broker-Dealers and Investment Advisers work within one of the most regulated industries in the country. The business of the firm and its associated persons is under regulation and subject to review by various independent agencies, the SEC, FINRA, and state jurisdictions to name but a few.

Essential to every Broker-Dealer and Investment Adviser’s business are the records it generates and keeps in the normal course of doing business. These records provide a transactional and regulatory audit trail, and are required for regulatory reasons. More importantly, they are essential to properly and professionally service the investing public.

NCCI can assist you in defining which records your firm needs to create and maintain, and can aid in designing adequate, usable books and records systems.