Regulations Requiring Additional Records to be Made and Retained by Brokers or Dealers in Securities (31 CFR 1023.410)

OMB 1506-0053

A broker or dealer in securities must retain an original or copy of certain documents, as specified in section 1023.410. The required records must be maintained for five years (31 CFR 1010.430).

The latest form for Regulations Requiring Additional Records to be Made and Retained by Brokers or Dealers in Securities (31 CFR 1023.410) expires 2021-08-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1506-0053-Recordkeeping Broker Dealers Supporting Statement- Final 072321.docx Supporting Statement A
Regulations Requiring Additional Records to be Made and Retained by Brokers or Dealers in Securities

All Historical Document Collections

202107-1506-003 Approved without change	Extension without change of a currently approved collection	2021-08-09
201709-1506-009 Approved without change	Extension without change of a currently approved collection	2017-11-30
201407-1506-007 Approved without change	Extension without change of a currently approved collection	2014-09-15
201108-1506-003 Approved without change	Extension without change of a currently approved collection	2011-08-18
201008-1506-013 Approved without change	New collection (Request for a new OMB Control Number)	2010-09-10