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SEC RIN: 3235-AH04 Publication ID: Spring 1998 
Title: Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934 
Abstract: The Commission plans to repropose for comment amendments to the books and records rules which will take into consideration the comments received in response to the proposing release. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed 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:
Action Date FR Cite
NPRM  10/28/1996  61 FR 55593   
NPRM Comment Period End  03/31/1997    
Reproposed  04/00/1998    
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