SEC 17a3 & 17a4

Making compliance a little easier...

It's no secret that compliance teams are drowning in regulation. The requirements under SEC Rules 17a-3 and 17a-4 are particularly high, with the regulator demanding extensive records of all trades carried out by broker/dealers.

To give you some breathing space, we’ve created a comprehensive cheat sheet on 17a-3 and 17a-4 that quickly and cleanly breaks down these rules. With our cheat sheet, you can spend less time digesting and more time complying.

Grab our Cheat Sheet to find out:

  • Who these rules apply to and what they demand
  • What you need to keep records of
  • How this data needs to be stored to remain compliant

Grab your copy: