SEC Rule 17a-4 & 17a-3 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. SEC Rule 17a-4 is part of the US Securities ...
An independent assessment firm validated that Azure and Office 365 can help financial firms meet the records retention and immutable storage requirements of SEC Rule 17a-4, SEC Rule 18a-6, FINRA 4511, & CFTC 1.31.
An independent assessment firm validated that Azure and Office 365 can help financial firms meet the records retention and immutable storage requirements of SEC Rule 17a-4, SEC Rule 18a-6, FINRA 4511, & CFTC 1.31.
[18] 见generally Rules 17a-3, 17a-4, and 17a-5. [19] 见paragraph (a)(2) of Rule 17a-3. [20] 见 paragraph (a)(5) of Rule 17a-3. [21] 见 generally Rule 17a-5. [22] 见 paragraph (d)(2)(ii) of Rule 17a-5. [23]参见PCAOB审计准则1105,审计证据(描述充分适当的审计证据,并...
Today, money is transferred instantly but the settlement period remains in place—both as a rule and as a convenience for traders, brokers, and investors. Now, most online brokers require traders to have sufficient funds in their accounts before buying stock. Also, the industry no longer issues...
customers’ securities) or SEC Rule 15c3-3(e) (reserve requirements, including the maintenance of a reserve bank account or an EBOC account). That is, the firm is effectively treated as subject to, but exempt under, SEC Rule 15c3-3 the way that such a firm has ...
The SEC is adopting a new recordkeeping requirement for broker-dealers under Exchange Act Rule 17a-4. Specifically, new Rule 17a-4(b)(17) will require broker-dealers relying on the Nonconvertible Securities exception in Rules 101(c)(2)(i) and 102(d)(2)(i) to maintain a re...
responsibilities of mutual fund directors when they make the determinations required by Rule 10f-3 (permitting a fund to purchase securities from an affiliated syndicate), Rule 17a-7 (permitting a fund to engage in certain cross-trading) and Rule 17e-1 (permitting a fund to use an affiliated ...
(SEC. I.D. NO. 8-16514) Statement of Financial Condition as of December 31, 2023 and Report of Independent Registered Public Accounting Firm PUBLIC DOCUMENT (Pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934). REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To ...
17A-23 Information required of registered broker or dealer sponsor of broker-dealer trading system pursuant to Section 17, Rule 17a-23 of the Securities Exchange Act of 1934. 17F-1 Certificate of accounting of securities and similar investments in the custody of management investment companies ...