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Electronic Storage of Broker-Dealer Records

SEC · other · Published 2003-05-12 · 68 FR 25281

Document

Document number
03-11727
Federal Register citation
68 FR 25281
CFR reference
17 CFR 241
Type
Rule
Action
Interpretation.
Category
other
Agency
US Securities and Exchange Commission
Publication date
2003-05-12
Docket
Release No. 34-47806

Abstract

The Securities and Exchange Commission is publishing its views on the operation of its rule permitting broker-dealers to store required records in electronic form. Under the rule, electronic records must be preserved exclusively in a non-rewriteable and non-erasable format. This interpretation clarifies that broker-dealers may employ a storage system that prevents alteration or erasure of the records for their required retention period.

Source

Authoritative
Federal Register document
Machine
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