{"id":74189,"date":"2025-12-11T17:24:22","date_gmt":"2025-12-11T22:24:22","guid":{"rendered":"https:\/\/www.smartcommunications.com\/?post_type=faq&#038;p=74189"},"modified":"2025-12-11T17:24:22","modified_gmt":"2025-12-11T22:24:22","slug":"what-is-finra-rule-4511","status":"publish","type":"faq","link":"https:\/\/www.smartcommunications.com\/de\/resources\/blog\/faq\/what-is-finra-rule-4511\/","title":{"rendered":"What is Finra Rule 4511?"},"content":{"rendered":"<p>Finra Rule 4511 is the general recordkeeping rule for broker-dealers. Generally speaking, it is know as the \u201cbooks and records\u201d rule because it notes that you must make and preserve all books and records required by Finra, U.S. Securities Exchange Act of 1934 (\u201cthe Exchange Act\u201d), and applicable SEC rules.\u00a0 If there is no retention period noted elsewhere, you must keep records for at least six years. All required books and records must be stored in a format and media that comply with SEC Rule 17a-4, which governs electronic keeping.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Finra Rule 4511 is the general recordkeeping rule for broker-dealers. Generally speaking, it is know as the \u201cbooks and records\u201d rule because it notes that you must make and preserve&#8230;<\/p>\n","protected":false},"template":"","meta":{"_acf_changed":false},"tags":[],"faq-category":[133],"industry":[141],"class_list":{"0":"post-74189","1":"faq","2":"type-faq","3":"status-publish","5":"faq-category-digital-archiving","6":"industry-financial-services"},"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.0 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>What is Finra Rule 4511? - Smart Communications<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.smartcommunications.com\/resources\/blog\/faq\/what-is-finra-rule-4511\/\" \/>\n<meta property=\"og:locale\" content=\"de_DE\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"What is Finra Rule 4511? - Smart Communications\" \/>\n<meta property=\"og:description\" content=\"Finra Rule 4511 is the general recordkeeping rule for broker-dealers. 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