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SEC Rule 17a-4(i)
A written undertaking is required from any third party (vendor) attesting that the books and records maintained on behalf of a member firm are the property of that firm and will be surrendered promptly on request.
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More on SEA 1934 Rule 17a-4
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SEC’s Atkins doubles down on cautious regulation in FT interview
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.
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FINRA disciplinary action update 2025/33
Disciplinary decisions issued August 30 – September 12, 2025.
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Synapse Brokerage CEO and CCO charged with misconduct by FINRA
Key alleged shortcomings include unreasonable supervision as well as failing to maintain books and records.
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FINRA disciplinary action update 2025/32
Disciplinary decisions issued August 23 – 29, 2025.
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FINRA disciplinary action update 2025/27
Disciplinary decisions issued July 12 – 18, 2025.
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FINRA disciplinary action update 2025/26
Disciplinary decisions issued July 5 – 11, 2025.
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Clearing firm fined for surveillance lapses related to potentially manipulative trading
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
