§ 513-a. Retention of books and records.
1.Every broker or dealer\nshall retain the books and records set forth in subdivision two of this\nsection relating to the years nineteen hundred sixty-seven, nineteen\nhundred sixty-eight, nineteen hundred sixty-nine and nineteen hundred\nseventy for a period of ten years following the end of the year in which\ncreated; shall retain all such books and records relating to the year\nnineteen hundred seventy-one for a period of nine years following the\nclose of nineteen hundred seventy-one; and shall retain all such books\nand records relating to any subsequent calendar year for a period of ten\nyears following the end of the year in which created. The books and\nrecords so retained shall be made available to the state comptroller\nupon his reque
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§ 513-a. Retention of books and records. 1. Every broker or dealer\nshall retain the books and records set forth in subdivision two of this\nsection relating to the years nineteen hundred sixty-seven, nineteen\nhundred sixty-eight, nineteen hundred sixty-nine and nineteen hundred\nseventy for a period of ten years following the end of the year in which\ncreated; shall retain all such books and records relating to the year\nnineteen hundred seventy-one for a period of nine years following the\nclose of nineteen hundred seventy-one; and shall retain all such books\nand records relating to any subsequent calendar year for a period of ten\nyears following the end of the year in which created. The books and\nrecords so retained shall be made available to the state comptroller\nupon his request in the performance of his duties under this chapter.\n 2. The following books and records shall be those referred to in\nsubdivision one of this section: general ledgers, customers ledgers;\ndaily and weekly stock position records; dividend sheets; cash blotters;\npurchase and sales blotters; daily journals; bank reconciliations;\ncancelled checks; claim letters; independent auditor's reports; trial\nbalances; private ledgers; financial statements and supporting data;\nchart of accounts; and copies of abandoned property reports.\n