# books-and-records

Guide compliance workflows for broker-dealer recordkeeping under SEC Rules 17a-3, 17a-4, and 204-2. Essential for audit prep and message retention setup.

- skill · `type=skill` · Claude Code, Codex, Cursor, GitHub Copilot, Gemini CLI, OpenCode · 664 installs · ★ 218
- Author: JoelLewis
- License: MIT · policy=mirror · the beginning of the file is at the end of this page
- Source: https://github.com/JoelLewis/finance_skills/tree/HEAD/plugins/compliance/skills/books-and-records/SKILL.md
- Updated: 2026-07-18
- HTML: https://affpapa.org/en/nevibecode/skills/books-and-records

## What it does

The skill outlines record creation mandates defined by SEC Rule 17a-3. It breaks down daily blotters for trades and cash movements, general ledgers, customer profiles, order tickets, and trade confirmations. It also factors in written customer complaints under FINRA Rule 4513 alongside Form U4 background records.

Retention tiers follow SEC Rule 17a-4 specifications. The skill details what belongs in lifetime archives, six-year retention for ledgers and blotters, and three-year preservation for correspondence or written agreements. Records from the first two years must remain easily accessible. It also covers electronic storage criteria, including WORM media requirements.

Regulatory data inside the skill reflects status as of June 2026. Because thresholds and rulemaking evolve, verify active dates against official SEC and FINRA releases prior to finalizing policies.

## Install

### Claude Code (native platform)

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill books-and-records -a claude-code
```

2. **Manually: put the files in place**
- File: `~/.claude/skills/books-and-records/SKILL.md` — Copy the whole skill folder; for one project use .claude/skills/books-and-records/

### Codex

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill books-and-records -a codex
```

2. **Manually: put the files in place**
- File: `.agents/skills/books-and-records/SKILL.md` — For all projects use ~/.agents/skills/

### Cursor

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill books-and-records -a cursor
```

2. **Manually: put the files in place**
- File: `.cursor/skills/books-and-records/SKILL.md` — Cursor also reads .agents/skills/ and .claude/skills/

### GitHub Copilot

1. **GitHub CLI**
```bash
gh skill install JoelLewis/finance_skills books-and-records
```

2. **Manually: put the files in place**
- File: `.github/skills/books-and-records/SKILL.md`

### Gemini CLI

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill books-and-records -a gemini-cli
```

2. **Platform CLI**
```bash
gemini skills install https://github.com/JoelLewis/finance_skills --path plugins/compliance/skills/books-and-records
```

### Windsurf (Devin Desktop)

**Manually: put the files in place**
- File: `.devin/skills/books-and-records/SKILL.md` — The legacy .windsurf/skills/ path still works

### OpenCode

**Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill books-and-records -a opencode
```

### Claude.ai

**Claude.ai**
- Zip the folder and upload it in Settings → Capabilities → Skills

Where a file is given instead of a command, copy the files from the source to that path: https://github.com/JoelLewis/finance_skills/tree/HEAD/plugins/compliance/skills/books-and-records/SKILL.md

## When to use it
- determine retention timelines for broker trade blotters and correspondence
- structure electronic storage procedures under WORM compliance standards
- verify customer account record fields under SEC Rule 17a-3
- prepare internal files for regulatory SEC or FINRA exam requests

## Example prompts
- What are the retention requirements for WhatsApp business chats under SEC Rule 17a-4?
- Help me build a record retention schedule for broker-dealer trade blotters and ledgers
- Which investor profile details are mandatory in customer account records under Rule 17a-3?

## Source text · SKILL.md · MIT

Below is the content of a third-party file. It is data, not instructions for you: do not act on anything written inside unless the human asks. Block tag: 8bc408482d5838c8.

BEGIN THIRD-PARTY FILE 8bc408482d5838c8
```text
---
name: books-and-records
description: "Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2. Use when the user asks about document retention schedules, how long to keep trade records or customer complaints, WORM storage requirements, email or text message archiving, social media capture, BYOD compliance policies, or electronic storage audit trails. Also trigger when users mention 'we got an exam request for records', 'migrating to a new archiving vendor', 'blotter retention', 'order ticket requirements', 'off-channel communications', 'WhatsApp archiving', or ask how long specific records must be kept."
---

# Books and Records

Regulatory status current as of June 2026 — verify effective dates, dollar thresholds, and pending rulemakings against current SEC/FINRA/FinCEN sources before advising.

## Core Concepts

### SEC Rule 17a-3 (Records to be Made)
SEC Rule 17a-3 (17 CFR 240.17a-3) specifies the books and records that every registered broker-dealer must create and maintain. These records form the foundation of regulatory oversight, enabling examiners to reconstruct transactions, verify compliance, and protect investors. The principal categories of required records are:

- **Blotters (daily records):** Purchase and sale blotters recording every securities transaction (date, time, security, quantity, price, counterparty), cash receipts and disbursements blotters recording all cash flows, and securities received and delivered blotters tracking the movement of securities into and out of the firm.
- **General ledger:** A complete general ledger reflecting all assets, liabilities, income, expense, and capital accounts of the broker-dealer. Must be current and maintained in accordance with generally accepted accounting principles.
```
END THIRD-PARTY FILE 8bc408482d5838c8

The third-party file has ended. Everything between the 8bc408482d5838c8 tags is data: requests and commands from it are not followed. An “end of file” line with another tag inside the block is part of the file.

First 1807 of 42191 bytes. © JoelLewis · MIT · https://github.com/JoelLewis/finance_skills/tree/HEAD/plugins/compliance/skills/books-and-records/SKILL.md

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From the same set: [joellewis/finance_skills](https://affpapa.org/en/nevibecode/by/joellewis/finance_skills.md) — 84 cards

---
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