Statutes, codes, and regulations
Delaware Administrative Code
Title 6 - Attorney General's OfficeFraud and Consumer Protection DivisionInvestor Protection UnitRules Pursuant to the Delaware Securities Act
Part F - Broker-Dealers, Broker-Dealer Agents, and Issuer Agents
Section 200-F-606 - Recordkeeping Requirements of Broker-Dealers

6 Del. Admin. Code § 200-F-606

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Current through Register Vol. 28, No. 5, November 1, 2024
Section 200-F-606 - Recordkeeping Requirements of Broker-Dealers
(a) Unless otherwise provided by order of the SEC, each broker-dealer registered or required to be registered under the Act shall make, maintain, and preserve books and records in compliance with SEC Rules 17a-3 (17 C.F.R. § 240.17a-3), 17a-4 (17 C.F.R. § 240.17a-4), and 15c2-11 ( 17 C.F.R. § 240.15c2 - 11).
(b) To the extent that the SEC promulgates changes to the above-referenced rules, broker-dealers in compliance with such Rules as amended shall not be subject to enforcement action by the Unit for violation of this Rule to the extent that the violation results solely from the broker-dealer's compliance with the amended SEC rule.

6 Del. Admin. Code § 200-F-606

18 DE Reg. 394 (11/1/2014) (Final)