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SIE Unit 28: Record Keeping Requirements under SEC 17a-3 & 4
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Records that are part of the life of the firm are retained for as long as the firm; "indefinitely". these records include
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- partnership agreement
- corporate charter or articles of incorporation
- stock certificate books
- minutes
- amendments
- organizational records
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Terms in this set (22)
Records that are part of the life of the firm are retained for as long as the firm; "indefinitely". these records include
- partnership agreement
- corporate charter or articles of incorporation
- stock certificate books
- minutes
- amendments
- organizational records
Partnership agreement
the foundational document of a partnership. if there is no written partnership agreement, there is no partnership
corporate charter or articles of incorporation
the name varies depending on the laws of the state of incorporation. this is the foundational document of a corporation. if there is no charter, there is no corporation
stock certificate books
for closely held corporations, this is an actual book where the certificates are held until they are issued. a record of who the certificates are issued to is also found in the book
minutes
a record of the meetings of the board of directors (corporation) or the partners (partnership)
