SEC Rule 17a-3 – Records to be Made by Certain Exchange Members

The Securities Exchange Act (SEA) Rule 17a-3 specifies the minimum requirements for broker-dealer records, how long records and documents relating to a broker-dealer’s business, and the format they may be kept.

SEA 17a-3 addresses recordkeeping requirements imposed on broker-dealers for retaining books and records relating to the following:
(1) Brokerage Orders and Dealer Transactions;
(2) Associated Persons;
(3) Customer Account Records;
(4) Customer Complaints;
(5) Compensation;
(6) Communications with the Public; and
(7) A List of Persons who can Explain a Broker-Dealer’s Records

Link to Rule:

Helpful Link:

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