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Securities and Exchange Act Section 17(a) Table

Description: Section 17(a) of the Securities and Exchange Act of 1934 authorizes the SEC to promulgate rules regarding record-keeping requirements for broker-dealers. Pursuant to that authority the SEC created rules 17(a)(3) and 17(a)(4), which together cover what documents need to be retained and for what duration. This form presents the rules and their requirements in an easy-to-read table layout.
Form Type: Documents
Practice Area: Corporate & Securities

Date: Jun 2013
PLI Item #: 57881
Keywords: "broker-dealer"; "securities exchange act of 1934"; "exchange act"; "section 17(a)"; "record-keeping rules"; "document retention"; SEC; "securities and exchange commission"; ledgers; assets; liabilities; dividends; margins; "repurchase agreements"; "brokerage orders"; "net capital"
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