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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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SIFMA urges SEC to modernize communication recordkeeping rules
SIFMA said these rules need to be redrafted so firms can "more effectively manage their relationships with clients through seamless and modern communication."
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FINRA disciplinary action update 2025/37
Disciplinary decisions issued October 4 – 10, 2025.
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FINRA disciplinary action update 2025/37
Disciplinary decisions issued October 4 – 10, 2025.
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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.
