SEC Rule 17a-4 og FINRAs tilsynsregler

SEC Rule 17a-4 og FINRAs tilsynsregler er en føderal regel publisert som 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511. Vedtatt 2022-10-12, gjelder fra 2023-05-03. Gjelder: Gjelder. De endrede kravene til elektronisk arkivering gjelder fra 3. mai 2023 for verdipapirforetak.

• SEC Rule 17a-4 og FINRAs tilsynsregler omfatter retention periods, audit-trail or write-once storage, supervisory system og books and records.
• SEC Rule 17a-4 og FINRAs tilsynsregler avgjør ikke om et enkelt selskap oppfyller kravene. Det leses i selskapets egen tekst og rapportene.
• Tilsyn: U.S. Securities and Exchange Commission og Financial Industry Regulatory Authority. Teksten publiseres av Electronic Code of Federal Regulations og Financial Industry Regulatory Authority.
• Teksten peker ut finansielle tjenester.

• US regulatory register
• Finansielle tjenester
• U.S. Securities and Exchange Commission
• Financial Industry Regulatory Authority

Identitet

Krav i teksten

• Retention periods, Henvisning: 17 CFR 240.17a-4(b). How long each category of record is kept and in what form.
• Audit-trail or write-once storage, Henvisning: 17 CFR 240.17a-4(f). An electronic system that either preserves an audit trail or writes records once.
• Supervisory system, Henvisning: FINRA Rule 3110. Written supervisory procedures, including review of business communications.
• Books and records, Henvisning: FINRA Rule 4511. Making and preserving the books and records the rules require.

Offisielle kilder

• 17 CFR § 240.17a-4, Records to be preserved by certain exchange members, brokers and dealers, Electronic Code of Federal Regulations
• FINRA rulebook, Financial Industry Regulatory Authority

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