48 Neb. Admin. Code, ch. 4, § 011
Current through September 17, 2024
Unless otherwise provided by order of the SEC, all broker-dealers registered or required to be registered under the Act shall make, maintain and preserve books and records in compliance with SEC Rules 17a-3 (17 C.F.R. 240.17a-3), 17a-4 (17 C.F.R. 240.17a-4), and 15c3-3 (17 C.F.R. 240.15c3-3).
48 Neb. Admin. Code, ch. 4, § 011