Important Things To Know About FINRA Retention Requirements
                     IMPORTANT THINGS TO 
KNOW ABOUT FINRA 
RETENTION REQUIREMENTS
IMPORTANT THINGS TO KNOW ABOUT 
FINRA RETENTION REQUIREMENTS
• Knowing FINRA retention requirements is very important especially if you have a business in the 
finance sector. There FINRA Rule 4511 includes the general archiving requirements that broker-
dealers must adhere to. This rule is based on the general record-keeping requirements of NYSE 
440 and NASD Rule 3110 and it clarifies that companies are supposed to make and preserve books 
and records under the Securities Exchange Act, FINRA rules as well as the applicable SEA rules. 
• Firms are supposed to preserve the FINRA books and records for which there is no specified 
retention under the FINRA rules or the applicable SEA rules for a period of at least six years. The 
books and records that are required to be made under the FINRA rules need to be preserved in a 
format and media that is in compliance with SEA rule 17a-4.  Not only do these rules apply to 
written records such as business letters and documents, but also digital content channels such as 
text/SMS, social media, audio, video, blogs and websites. 
IMPORTANT THINGS TO KNOW ABOUT 
FINRA RETENTION REQUIREMENTS
• The SEA Rules 17a-3 and 17a-4 detail the books as well as 
records that broker-dealers and member firms are supposed 
to create and retain. Examples of records that need to be 
made and archived include records of original entry, trade 
tickets, asset and liability ledgers, income ledgers and 
customer account ledgers, copies of information notices, 
customer account profile information as well as corporate 
documents, trial balances and written agreements. 
IMPORTANT THINGS TO KNOW ABOUT 
FINRA RETENTION REQUIREMENTS
• The periods for required books and records vary depending 
on the type.  For example, trade tickets for brokerage orders 
need to be preserved for at least three years while the 
originals of all business-related communications received as 
well as copies of all communication sent by broker-dealer 
need to be retained for at least three years.
• For more information on FINRA retention requirements, visit 
our website at https://www.telemessage.com/
IMPORTANT THINGS TO 
KNOW ABOUT FINRA 
RETENTION REQUIREMENTS