Final answer:
Broker-dealer firms must keep customer new account forms, advertising, and stock records for six years.
Step-by-step explanation:
The broker-dealer firm is required to keep the following records for six years:
- Customer new account forms: These forms contain important information about customers, such as their personal details and investment objectives.
- Advertising the firm has published: This includes any promotional materials or advertisements used by the firm to attract clients.
- Stock records: These records document the transactions and holdings of stocks carried out by the firm.
Minute books, on the other hand, are typically records of the meetings and decisions made by a company's board of directors and are not specifically required to be kept by a broker-dealer firm.