WebSecurities and Exchange Commission (SEC) Rule 17a-3 and related regulations catalog the broad range of record types that FINRA members, brokers, and dealers are required to preserve. The CFTC’s rules also establish like requirements for futures market participants. Web21 Dec 2024 · moves the Securities and Exchange Commission (“the Commission”) for summary disposition , and for entry of an order revoking, under Section 17A(c)(3) of the Securities Exchange Act of 1934 (“Exchange Act”) [15 U.S.C. § 78q-1(c)(3)], Respondents …
Broker-Dealer Record Retention Chart (April 2016) (2)
WebSecurities Exchange Act of 1934 (“Exchange Act”) Rule 17a-4 (“Rule 17a-4”) 1 sets forth record maintenance and preservation requirements applicable to broker-dealers, including broker-dealers also registered as security-based swap dealers (“SBSDs”) or major security … Web21 Dec 2016 · The SEC amended Rule 17a-4 on October 12, 2024 to modify the requirements regarding the maintenance and preservation of electronic records, the use of third-party recordkeeping services to hold records, and the prompt production of … open arabic keyboard
SEA Rule 17a-3 and Related Interpretations FINRA.org
Rule 17a-3 has been amended to require that a brokerage order ticket contain the identity of the associated person, if any, responsible for the account and any other person who entered or accepted the order on behalf of the customer, and whether it was entered subject to discretionary authority. See more The Securities and Exchange Commission's (the "Commission") books and records rules, Rule 17a-31 and Rule 17a-42 under the Securities Exchange Act of 1934 ("Exchange Act")(hereinafter the "Books and Records … See more The Reproposing Release would have required that broker-dealers make certain records for each local office and maintain copies of those … See more In response to the comments received on the Proposing Release, the Commission substantially modified the amendments, and reproposed them to allow for public comment on the … See more In brief, the amendments to present Rule 17a-3 include revisions to the information that must be recorded on order tickets, and new requirements to: create certain records relating to associated persons; collect certain … See more WebThe amendments to Rule 17a-3 also require broker-dealers to make records: that indicate that they have either complied with or adopted procedures designed to establish compliance with applicable regulations of certain securities regulatory authorities, 10 … WebThe after checklist helps identify the basic requirements used members under the new and amended recordkeeping requirements to that SEC broker/dealer books and records rules. open arch bookcase