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SEC Rule 17a-4(a)-(b)

Member, broker or dealer subject to Rule 17a-3 must preserve all records required under that rule.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Recordkeeping

Overview
Rules in This Collection
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Further Reading

The records must be preserved for a period of 6 years. And must be available in an easily accessible place for the first two years.

In addition 17 types or records must be preserved by those subject to the rule for a period of not less than three years, stored in an easily accessible place for the first two years.

Item 4 on this list requires organizations to preserve originals of all communications received and copies of all communications sent relating to its business.

Rules in This Collection
SEC Rule 17a-4
SEC Rule 17a-4(a)-(b) This Rule
SEC Rule 17a-4(f)
SEC Rule 17a-4(i)
SEC Rule 17a-4(j)
Notable
FTC and DOJ's Antitrust Unit update guidance on use of ephemeral messaging

FTC and DOJ's Antitrust Unit update guidance on use of ephemeral messaging

Agencies update documents to address increased use of collaboration and ephemeral messaging tools in business practices.

Julie DiMauro2 min read

What does ‘prompt’ mean in communications monitoring and reporting?

What does ‘prompt’ mean in communications monitoring and reporting?

We tackle this important question and assess the regulatory expectations around backlogs, speed of reviews and disclosing violations to authorities.

Julie DiMauro, Thomas Hyrkiel8 min read

SEC says JPMorgan mistakenly deleted 47 million emails

SEC says JPMorgan mistakenly deleted 47 million emails

JPMorgan must pay a $4m penalty for mistakenly deleting emails, some of which had subsequently been requested in regulatory investigations.

Julie DiMauro2 min read

Supervision

FTC and DOJ's Antitrust Unit update guidance on use of ephemeral messaging

Supervision

What does ‘prompt’ mean in communications monitoring and reporting?

Enforcement

SEC says JPMorgan mistakenly deleted 47 million emails

Latest News More on SEA 1934 Rule 17a-4 

Further Reading

Small entity compliance guide to recordkeeping requirements Go to https://www.sec.gov/investment/amendments-electronic-recordkeeping-requirements-broker-dealers#:~:text=Rule%2017a%2D4%20requires%20a%20broker%2Ddealer%20to%20furnish%20promptly,other%20records%20subject%20to%20examination SEA 1934 Rule 17a-4 and related interpretations Go to https://www.finra.org/rules-guidance/guidance/interpretations-financial-operational-rules/sea-rule-17a-4-and-related-interpretations Electronic recordkeeping requirements FAQs Go to https://www.sec.gov/tm/faq-rule-amendments-broker-dealer-security-based-swap