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The SEC Division of Examinations published Rule 17Ad-17 examination results for registrants to consider when assessing compliance.
SEC Rule 17a-1
Requires securities exchanges and other listed organizations to keep and preserve at least one copy of all documents made or received by in the course of business as such as well as in connection with the conduct of its self-regulatory activity.
Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
ECFR Title 17 Chapter II Part 240 Subpart A Section 240.17a-1Overview
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