SEC Rule 17a-1
The documents to be kept and preserved include all
- correspondence
- memoranda
- papers
- books
- notices
- accounts
- other such records
The documents must be retained for a period of at least five years. They must remain easily asscessible for the first two years.
When requested they must be promptly furnished to the SEC.
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Framing the Issue: A US strategic bitcoin reserve
Global financial destablilizer or shock absorber?
Carmen Cracknell<1 min read
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Rebecca Fike talks to GRIP about SEC enforcement and more
Fike, former SEC senior counsel, told us about the effects of uncertainty and tempered enforcement activity at the SEC on her clients, and her advice to them.
Julie DiMauro4 min read
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GRIP Extra: CFTC launches Innovation Task Force, digital Euro progress advances
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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SEC hints long-awaited e-delivery rule could be imminent
House lawmakers are also moving to allow electronic investor disclosures and communications, but the SEC may act first.
Alexander Barzacanos1 min read
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Crypto wrap: Regulatory clarity on security status, prediction platforms target insider trading
Our pick of the latest crypto stories.
Carmen Cracknell1 min read
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Financial regulation 2.0: What EU regulatory evolution means for practitioners
Regulation targeting the financial sector continues to evolve. We explore the EU's future approach, where reforms are balanced with core safeguards – alongside perspectives from other key markets for the Nordic and Baltic region.
Vasilka Lalevska, Thomas Hyrkiel, Julie DiMauro, Vlada Gurvich, Jean Hurley, Hameed Shuja8 min read
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GRIP Extra: AMLA begins groundwork for direct supervision, White House unveils federal AI framework
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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SEC and CFTC act ahead of Congress with joint crypto guidance
The guidance says most digital assets are not securities but stops short of creating a full market framework.
Alexander Barzacanos3 min read
