Webb23 feb. 2024 · 17a-4 (b) (8) (i) Money balance and position, long or short, including description, quantity, price, and valuation of each security including contractual … WebbSecurities Exchange Act of 1934 (“Exchange Act”) Rule 17a-4 (“Rule 17a-4”) 1 sets forth record maintenance and preservation requirements applicable to broker-dealers, including broker-dealers also registered as security-based swap dealers (“SBSDs”) or major …
SEC Rule 17a-4: Electronic Storage Media - MasterCompliance
Webb31 jan. 2024 · Hanzo Knows: Compliance Basics of SEC Rule 17a-4 (f) SEC Rule 17a-4, along with SEC Rule 17a-3, sets out what records exchange members, brokers, and … WebbSec. 3 SECURITIES EXCHANGE ACT OF 1934 4 ties the functions commonly performed by a stock exchange as that term is generally understood, and includes the market place and the market facilities maintained by such exchange. (2) The term ‘‘facility’’ when used with respect to an ex-change includes its premises, tangible or intangible property gynecologist oxford ohio
The Complete Guide to SEC Rule 17a-4 for Compliance Professionals
Webb5 jan. 2024 · SEC Rule 17a-4 outlines the requirements for data retention, indexing, and accessibility for regulated entities who deal in the trade or brokering of financial securities. The rule obliges firms to ensure the retention and preservation of all transactions and official business records – including all communications. Webb3(a)(16) and 17a-4(b)(10). Rule 17a-4(b)(10) was subsequently renumbered 17a-4(b)(11). The amendment to Rule 17a-3 requires certain records to be kept in conjunction with the operation of an internal broker-dealer system. Certain internal broker-dealer systems are not included within the definition of an exchange, as set forth in proposed Rule ... WebbSecurities Exchange Act of 1934. A US statute which primarily regulates the trading of securities of public companies and provides for ongoing reporting by issuers whose … bp switch