The Investment Adviser Books and Records Retention List serves as an important part of an investment adviser’s efforts to maintain required books and records in accordance with SEC Rule 204-2 and/or applicable state requirements. SEC Rule 204-2 requires that every investment adviser registered or required to be registered under section 203 of the Act shall make and keep true, accurate and current books and records relating to its investment advisory business. The Retention List includes eleven separate categories of records along with a description of each record and corresponding retention requirements.

Version/Update: V.2/November 7, 2018

Total Page Count: 7

Source/Author(s): Connexien