FINRA Books and Records Compliance Checklist
Use this checklist to review whether books-and-records controls, retention practices, archived communications, and supporting evidence are in place for the selected review period.
Firm and Review Context
Business Unit or Entity Name
*
Primary Reviewer Name
*
Reviewer Role / Title
*
Review Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Reporting Period Start
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Reporting Period End
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Record System or Location Reviewed
*
Please Select
Document Management System
Shared Drive
Physical Records File Room
Email Archive
Compliance Repository
Other
Books and Records Controls Checklist
Existence of written books-and-records procedures
*
Yes
No
Partial
Not Applicable
Record retention schedule defined and maintained
*
Yes
No
Partial
Not Applicable
Records stored in a retrievable format
*
Yes
No
Partial
Not Applicable
Communications archived where applicable
*
Yes
No
Partial
Not Applicable
Transaction and trade records retained appropriately
*
Yes
No
Partial
Not Applicable
Supervisory review and approval records retained
*
Yes
No
Partial
Not Applicable
Exception and escalation log maintained
*
Yes
No
Partial
Not Applicable
Periodic backup and recovery testing completed
*
Yes
No
Partial
Not Applicable
Document any gaps or observations
Record Categories and Evidence
Record categories reviewed
*
Customer/account records
Trade/order records
Communications
Approvals
Complaints
Reconciliation reports
Exception logs
Archival evidence
Other
Evidence log
*
System or repository used
*
Please Select
DMS
Shared drive
Case management system
Trade surveillance system
Email archive
Document repository
Other
Supporting evidence file upload
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Remediation owner
Findings, Remediation, and Attestation
Overall Compliance Status
*
Compliant
Partially Compliant
Non-Compliant
Needs Follow-Up
Remediation Actions Needed
Target Completion Date
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Responsible Owner for Follow-Up
Acknowledgment
*
I acknowledge that the information submitted is accurate to the best of my knowledge.
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