Section 513-A. Retention of books and records

  1. Every broker or dealer
  shall retain the books and records set forth in subdivision two of  this
  section  relating  to  the  years nineteen hundred sixty-seven, nineteen
  hundred sixty-eight, nineteen hundred sixty-nine  and  nineteen  hundred
  seventy for a period of ten years following the end of the year in which
  created;  shall  retain  all such books and records relating to the year
  nineteen hundred seventy-one for a period of nine  years  following  the
  close  of  nineteen hundred seventy-one; and shall retain all such books
  and records relating to any subsequent calendar year for a period of ten
  years following the end of the year in  which  created.  The  books  and
  records  so  retained  shall  be made available to the state comptroller
  upon his request in the performance of his duties under this chapter.
    2. The following books and records  shall  be  those  referred  to  in
  subdivision  one  of  this  section: general ledgers, customers ledgers;
  daily and weekly stock position records; dividend sheets; cash blotters;
  purchase and  sales  blotters;  daily  journals;  bank  reconciliations;
  cancelled  checks;  claim  letters; independent auditor's reports; trial
  balances; private ledgers; financial  statements  and  supporting  data;
  chart of accounts; and copies of abandoned property reports.