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Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934

SEC · final-rule · Published 1997-02-12 · Effective 1997-04-14 · 62 FR 6469

Document

Document number
97-3426
Federal Register citation
62 FR 6469
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1997-02-12
Effective date
1997-04-14
Docket
Release No. 34-38245

Abstract

The Securities and Exchange Commission (``Commission'') is amending its broker-dealer record preservation rule to allow broker- dealers to employ, under certain conditions, electronic storage media to maintain records required to be retained. The amendments reflect a recognition of technological developments that will provide economic as well as time-saving advantages for broker-dealers by expanding the scope of recordkeeping options while at the same time continuing to require broker-dealers to maintain records in a manner that preserves their integrity. The Commission is also issuing an interpretation of its record preservation rule relating to the treatment of electronically generated communications.

Source

Authoritative
Federal Register document
Machine
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