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SEC RIN: 3235-AN70 Publication ID: 2026 
Title: ●Rule 17a-4 "Business as Such" Clarification 
Abstract:

Staff is considering recommending that the Commission propose amendments to Rule 17a-4 (Records to be preserved by certain exchange members, brokers and dealers) to clarify the scope of the phrase "business as such" that is used within Rule 17a-4.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Economically Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 14192 Designation: Deregulatory 
CFR Citation: 17 CFR 240.17a-4   
Legal Authority: 15 U.S.C. 78a et seq.   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2026 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755
Email: lombardor@sec.gov