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SEC Rule 17a-4

Rule Collection

Requires a broker-dealer to promptly furnish legible, true, complete, and current copies of the records required to be maintained and preserved under the rules as well as any other records subject to examination.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Recordkeeping

Overview
Rules in This Collection
Latest News
Further Reading

The objective of the rule is to permit comprehensive examinations of firm activities and also act as a deterrent against potential rule-breaking.

17a-4(c)
Accessibility and indexing
17a-4(d)
Verification of records
17a-4(e)
Record preservation
17a-4(k)
Indexing
17a-4(l)
Record maintenance
17a-4(m)
Definitions
Rules in This Collection
SEC Rule 17a-4 This Rule
SEC Rule 17a-4(a)-(b)
SEC Rule 17a-4(f)
SEC Rule 17a-4(i)
SEC Rule 17a-4(j)
Latest News More on SEA 1934 Rule 17a-4 

Further Reading

SEC Electronic Recordkeeping Requirements FAQs Go to https://www.sec.gov/rules-regulations/staff-guidance/trading-markets-frequently-asked-questions/rule-amendments-broker