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SEC Rule 17a-4 & 17a-3 – Records to be made by and preserved by certain exchange

The U.S. Securities and Exchange Commission pursuant to its regulatory authority under the US Securities Exchange Act of 1934 outlines requirements for broker-dealers to store required records in electronic form.  Rule 17a-4 (“Records to Be Preserved by Certain Exchange Members, Brokers and Dealers”) and SEC Rule 17a-3 (“Records to Be Made by Certain Exchange Members, Brokers and Dealers”) specify minimum requirements with respect to the records that broker-dealers must make, how long records and other documents relating to a broker-dealer’s business must be kept and in what format they may be kept.

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Date : Jul 01, 2017
Region : North America
Industry : Banks
Function : Risk Management
Sub-Function : Cyber Risk