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Overview:
According to this white paper part of the Securities Exchange Act of 1934 - which extended federal regulation of securities trading past the limited scope of the Securities Act of 1933 - the rule is 70 years old. And, Rule 17a-4 is merely an original section within that legislation that requires every national securities exchange member, broker and dealer to keep accessible records made between certain parties for specified periods of time. The spirit and intent of this section may not have not changed much or at all since 1934, but interpretation and relevance have certainly evolved along with financial industry automation - making compliance today more of a challenge.
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| Format: | Size: | 270 KB | |
| Date: | Oct 2004 | ||
| Pages: | 8 |
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