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SEC | RIN: 3235-AH04 | Publication ID: Spring 1997 |
Title: ●Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934 | |
Abstract: The Commission proposed for comment amendments to the broker-dealer books and records rules intended to clarify, modify, and expand record-keeping requirements with respect to purchase and sale documents, customer complaints, associated person records, customer records, and certain other matters. In addition, the proposed amendments specify certain types of books and records that broker-dealers must make available in their local offices. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240 (Revision) | |
Legal Authority: 15 USC 77c 15 USC 77d 15 USC 77g 15 USC 77j 15 USC 77s 15 USC 77eee 15 USC 77ggg 15 USC 77nnn 15 USC 77sss 15 USC 77ttt 15 USC 78c 15 USC 78d 15 USC 78f 15 USC 78i 15 USC 78j ... |
Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Included in the Regulatory Plan: No | |
Agency Contact: Peter Geraghty Division of Market Regulation Securities and Exchange Commission Phone:202 942-0177 Email: geraghtyp@sec.gov |