MSRB rules require retention of records of customer complaints with their resolution for

• A. 4 years
• B. 2 years
• C. 6 years
• D. 10 years

Answer: (C)

MSRB rules require keeping records of customer complaints and how they were resolved for six years. This length of retention provides an enduring, accessible trail that regulators and the firm can review to spot recurring issues, verify that complaints were handled properly, and support any later investigations or actions. Storing the complaint together with its resolution helps demonstrate how the firm addressed customer concerns and whether changes in policies or procedures were made as a result. Shorter periods, such as four or two years, risk losing useful historical patterns, while ten years goes beyond what is required and adds unnecessary burden.