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4570. Custodian of Books and Records

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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