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Apr 19 2010 - Aug 18 2019Aug 19 2019 onwards

4570. Custodian of Books and Records

This version is valid from Apr 19 2010 through Aug 18 2019.
Amendments have been announced but are not yet effective. To view other versions open the versions tab on the right.

A member who files a Form BDW shall designate on the Form BDW, as the custodian of the member's books and records, a person associated with the member at the time that the Form BDW is filed.
Amended by SR-FINRA-2009-080 eff. April 19, 2010.
Adopted by SR-NASD-99-76 eff. Sept. 11, 2000.

Selected Notices: 00-56, 10-10.

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