What is included in the SEC Rule 17a-4 regulation? Here is the lowdown: Exchange members, brokers and dealers must preserve records.
The Securities and Exchange Commission (SEC) is the agency in charge of this regulation and the Financial Industry Regulatory Authority (FINRA) protects the regulation. SEC Rule 17a-4 requires records to be preserved by certain exchange members, brokers and dealers. The content channels monitored within this regulation include: email, instant messaging, social media, text/SMS, audio, video, website and blogs. The global region monitored is North America and the United States.
If you’re looking for more details about compliance, you can click here to visit the FINRA website. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
For more compliance regulation rules, visit our Archiving Compliance Regulations & Supervision Rules page with all of the financial services regulations.
With more than 20 years of innovation under our belts, Erado is the nation’s first comprehensive archiving platform. We specialize in unified and compliance archiving and have developed a simplified user experience for our customers. Our patented technology archives more than 50 communication channels like email, social, mobile, web, apps and more.
* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.