Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f)
SEC · other · Published 2001-05-07 · Effective 2001-05-07 · 66 FR 22916
Document
Document number
01-11333
Federal Register citation
66 FR 22916
CFR reference
17 CFR 241
Type
Rule
Action
Interpretation.
Category
other
Agency
US Securities and Exchange Commission
Publication date
2001-05-07
Effective date
2001-05-07
Docket
Release No. 34-44238
Abstract
The Commission is publishing guidance on the operation of its rule permitting electronic storage of broker-dealer records in light of the recently enacted Electronic Signatures in Global and National Commerce Act of 2000. In particular, we are publishing guidance on how the electronic storage requirements of Rule 17a-4(f) under the Securities Exchange Act of 1934 meet, and are consistent with, the requirements of the Electronic Signatures in Global and National Commerce Act.