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Rules

SEC Rule 17a-4(j)

Every member, broker and dealer must be able to promptly provide legible, true, complete, and current copies that are required to the be preserved.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Recordkeeping

Overview
Rules in This Collection
Latest News
Further Reading

If the records are preserved on an electronic recordkeeping system the audit trail for any given record must be provided if requested.

Rules in This Collection
SEC Rule 17a-4
SEC Rule 17a-4(a)-(b)
SEC Rule 17a-4(f)
SEC Rule 17a-4(i)
SEC Rule 17a-4(j) This Rule
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