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SEC RIN: 3235-AH04 Publication ID: Fall 2000 
Title: Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934 
Abstract: The Commission reproposed for comment amendments to the broker-dealer books and records rules which are designed to clarify and expand recordkeeping requirements with respect to purchase and sale documents, customer records, associated person records, customer complaints, and certain other matters. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously 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 77ttt    15 USC 78c    15 USC 78d    15 USC 78f    15 USC 78i    15 USC 78j    15 USC 77d    15 USC 77g    15 USC 77j    15 USC 77s    15 USC 77eee    15 USC 77ggg    15 USC 77nnn    ...    15 USC 77sss   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/28/1996  61 FR 55593   
NPRM Comment Period End  03/31/1997    
Reproposed  10/09/1998  63 FR 54404   
Comment Period End  11/09/1998    
Final Action  02/00/2001    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: Yes 
Included in the Regulatory Plan: No 
Agency Contact:
Thomas K. McGowan
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5521
Fax:202 772-9273
Email: mcgowant@sec.gov