# Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
> **US Securities and Exchange Commission** · Interpretation. · Published 2003-05-29 · 68 FR 32308
## Document
- **Document number:** 03-13444
- **Category:** other
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 68 FR 32308
- **CFR reference:** 17 CFR 241
- **Publication date:** 2003-05-29
- **Docket:** Release No. 34-47910
## Abstract

The Securities and Exchange Commission is publishing guidance to clarify certain issues relating to broker-dealer books and records rules. Some of these issues have been raised as a result of the amendments to these rules that were adopted on October 26, 2001.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2003/05/29/03-13444/books-and-records-requirements-for-brokers-and-dealers-under-the-securities-exchange-act-of-1934)
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