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Rules

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.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Recordkeeping

Rules in This Collection
Latest News
Further Reading
Rules in This Collection
SEC Rule 17a-4
SEC Rule 17a-4(a)-(b)
SEC Rule 17a-4(f)
SEC Rule 17a-4(i) This Rule
SEC Rule 17a-4(j)
Latest News More on SEA 1934 Rule 17a-4 

Further Reading

SEA 1934 Rule 17a-4 and related interpretations Go to https://www.finra.org/rules-guidance/guidance/interpretations-financial-operational-rules/sea-rule-17a-4-and-related-interpretations Electronic recordkeeping requirements FAQs Go to https://www.sec.gov/tm/faq-rule-amendments-broker-dealer-security-based-swap