A Dealer Member must keep an up-to-date record of all client complaints and associated documentation relating to the conduct, business and affairs of the Dealer Member, or an employee or agent of the Dealer Member, in a central and readily accessible place for a period of two years from the date of receipt of a client complaint.
For each client complaint file, a Dealer Member must maintain a copy for seven years in a location that is retrievable within a reasonable period of time.
3787. – 3799. Reserved.