SEC Rule 17a-4 and the FINRA supervision rules
SEC Rule 17a-4 and the FINRA supervision rules is a federal rule published as 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511. Adopted 2022-10-12, applies from 2023-05-03. In force: In force. The amended electronic recordkeeping requirements applied from 3 May 2023 for broker-dealers.
- SEC Rule 17a-4 and the FINRA supervision rules covers retention periods, audit-trail or write-once storage, supervisory system and books and records.
- SEC Rule 17a-4 and the FINRA supervision rules does not settle whether a single company meets it. That is read in the company's own text and its filings.
- Supervised by U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority. The text is published by Electronic Code of Federal Regulations and Financial Industry Regulatory Authority.
- The text names financial services.
- US regulatory register
- Financial services
- U.S. Securities and Exchange Commission
- Financial Industry Regulatory Authority
Identity
| Identifier | 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511 |
|---|---|
| Adopted | 2022-10-12 |
| Applies from | 2023-05-03 |
| Status | In force. The amended electronic recordkeeping requirements applied from 3 May 2023 for broker-dealers. |
| Supervision | U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority |
| Sectors named | Financial services |
| Risk areas | Recordkeeping, Information security |
Requirements in the text
- Retention periods, Reference: 17 CFR 240.17a-4(b). How long each category of record is kept and in what form.
- Audit-trail or write-once storage, Reference: 17 CFR 240.17a-4(f). An electronic system that either preserves an audit trail or writes records once.
- Supervisory system, Reference: FINRA Rule 3110. Written supervisory procedures, including review of business communications.
- Books and records, Reference: FINRA Rule 4511. Making and preserving the books and records the rules require.
Official sources
- 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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