RECORDKEEPING

002 RECORDKEEPING. The following requirements must be met by registered broker-dealers relying upon the exemption from registration contained in Section 8-1111(3) of the Act. 002.01 In transactions involving an unsolicited order or offer to buy, the broker-dealer shall require the customer to acknowledge upon a specified form that the sale was unsolicited. 002.02 The broker-dealer shall retain a signed copy of each such form for a period of five years from the date of each sale made in reliance upon this exemption.