For each type of investment the customer has made, the list must contain the type of investment, the names of the firms the customer has done or is doing business with, the account numbers for accounts at each firm, the dates the accounts were opened and, if applicable, the dates the accounts were closed. Research or marketing materials concerning any trading recommendations made to the customer or concerning any transaction made in the customer's account. Any correspondence or agreements concerning the strategy to be used in trading the customer's account. Daily confirmation statements for the customer's account. Monthly activity statements for the customer's account.
Margin calls for the customer's account.
Any notes made by the broker concerning the customer's account or any transactions in the account. 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.