Records to be Made by Certain Exchange Members

Are you familiar with the SEC Rule 17a-3 regulation? If not, here’s the deal:

The United States Securities and Exchange Commission is the agency in charge of this regulation and the Financial Industry Regulatory Authority (FINRA) protects the regulation. SEC Rule 17a-3 requires records to be made by certain exchange members. The content channels monitored within this compliance regulation include: email, instant messaging, social media, text/SMS, audio, video, website and blogs. The global region monitored is North America and the United States.

If you’re looking for more details about compliance, you can visit the U.S. Securities and Exchange Commission website here where you’ll find the formal SEC Rule 17a-3 compliance regulation details.

For more compliance regulation rules, visit our Archiving Compliance Regulations & Supervision Rules page with all of the financial services regulations.

* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.

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