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Around the corner – Rule 17a-4 amendments require compliance by May 3

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Julie DiMauro

2 min read
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Recordkeeping requirements are changing for many market participants and action is required to ensure compliance.

Last October, the SEC adopted amendments to Exchange Act Rule 17a-4 with respect to the electronic recordkeeping requirements for broker-dealers, security-based swap dealers, and major security-based swap participants. A useful SEC FAQ document can also be found here.

The amendments became effective January 3, 2023, and with a

The amendments

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