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SEC | RIN: 3235-AM76 | Publication ID: Spring 2021 |
Title: Records to be Preserved by Certain Exchange Members, Brokers and Dealers | |
Abstract:
The Division is considering recommending that the Commission propose amendments to the provisions in paragraph (f) of Rule 17a-4 governing the use of electronic storage media to maintain and preserve required broker-dealer records. |
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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 240.17a-4 | |
Legal Authority: 15 U.S.C. 78q |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Nina Kostyukovsky Attorney Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-8833 Email: kostyukovskyn@sec.gov |