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#66245 - 03/07/03 07:54 PM Reg D Record Retention
VickyD Offline
New Poster
Joined: Jan 2003
Posts: 7
Can someone tell me if there are record retention requirements in Reg D regarding the monitoring of excessive transactions. We are currently maintaining copies of the notification letters we send to customers. I have researched the reg and have not been able to find anything.

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#66246 - 03/07/03 08:07 PM Re: Reg D Record Retention
Walleye Woman Offline
Platinum Poster
Walleye Woman
Joined: Jul 2002
Posts: 832
I keep my information from exam to exam. I have never been asked to keep anything longer than that, however I don't keep copies of the letters we send, just evidence that they were sent.
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Marilyn, CRCM

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