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SEC Rule 17a-4(f)

Stipulates that the records required to be maintained and preserved pursuant to Rule 17a-3 and Rule 17a-4 must be immediately produced or reproduced by way of a recordkeeping system or micrographic media by a designated officer, specialist or affiliated third party.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Recordkeeping

Rules in This Collection
Notable
Latest News
Further Reading
Rules in This Collection
SEC Rule 17a-4
SEC Rule 17a-4(a)-(b)
SEC Rule 17a-4(f) This Rule
SEC Rule 17a-4(i)
SEC Rule 17a-4(j)
Notable
FINRA member Nomura fined for books and records failings

FINRA member Nomura fined for books and records failings

The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.

Martina Lindberg2 min read

Broker-dealer charged with recordkeeping lapses in its underwriting

Broker-dealer charged with recordkeeping lapses in its underwriting

The SEC said CGMI willfully violated recordkeeping requirements concerning expenses the firm incurred in its underwriting business.

Julie DiMauro2 min read

Arm & Hammer claws back comp from a top executive over deleted text messages

Arm & Hammer claws back comp from a top executive over deleted text messages

Marketing chief was stripped of stock awards because he deleted business related texts on his personal phone.

Julie DiMauro4 min read

Enforcement

FINRA member Nomura fined for books and records failings

Enforcement

Broker-dealer charged with recordkeeping lapses in its underwriting

Reporting

Arm & Hammer claws back comp from a top executive over deleted text messages

Latest News More on SEA 1934 Rule 17a-4 

Further Reading

SEC Rule release 17a-4(f) Go to https://www.sec.gov/rule-release/34-44238 SEA Go to https://www.finra.org/rules-guidance/guidance/interpretations-financial-operational-rules/sea-rule-17a-4-and-related-interpretations SEC Electronic Recordkeeping Requirements FAQs Go to https://www.sec.gov/tm/faq-rule-amendments-broker-dealer-security-based-swap