*Letters

Recordkeeping Issued by the Division of Securities and Retail Franchising

Published on:
May 15, 2007

SIFMA provides comments to the Virginia State Corporation Commission on a proposed new rule relating to recordkeeping, rule 21 VAC 5-20-65 issued by the Division of Securities and Retail Franchising on April 6, 2007. SIFMA informs the Commission that proposed requirement under the new rules that all broker-dealer’s records must be made immediately available upon request of the commission differs from SEC books and records rules. SIFMA recommends that the Commission amend the new proposed rules to reflect the current SEC books and records rules.

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