DocuLynx Blog SEC Rule 17a-4 Compliance Guide and Checklist

SEC Rule 17a-4 Compliance Guide And Checklist The US Securities Exchange Commission, pursuant to its regulatory authority of the under the US Securities Exchange Act of 1934 (outlining data retention and accessibility requirements), issued Rule 17a-4(f) in 1997. The updated regulation requires broker-dealers, who store records and required books in an electronic format, to comply with...