Registration applications, biographies, resumes or similar documents showing employment history and educational background of the broker and any trading advisor. Floor and office order tickets and any other documents submitted at the time of the transactions for transactions made in the customer's account. Research and marketing materials prepared or distributed by the firm, the broker, or the trading advisor concerning any trading recommendation made to the customer or any transaction made in the customer's account. The index to the firm's compliance manual. Agreements, contracts or other documents, including guarantee agreements, governing the relationship between the firm introducing the account and the FCM carrying the account, or between the trading advisor and either the firm introducing the account or the FCM carrying the account.
Commission runs for the broker who serviced the customer's account.