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SEC Rule 17a-7

Non-resident brokers and dealers registered with the SEC are required to keep, maintain and preserve, at a place in the United States, correct, complete and current copies of required records.

Rule Overview

Jurisdiction: United States

Regulator: SEC

Topic: Recordkeeping

Overview

The SEC must be provided with a written notice of the address where the copes of the books and records are kept and preserved.

An exception is available to the storage of the books and records in the United States if a signed undertaking is provided to the SEC that these will be furnished upon demand within fourteen (14) days.