Staying compliant

with 17a-3 and 17a-4

Making compliance a little easier...


SEC Rules 17a-3 and 17a-4 have always meant rigorous record-keeping requirements, but the recently introduced Regulation Best Interest means firms now need to revisit their internal processes.

To help, we’ve created a comprehensive and fully updated cheat sheet on 17a-3 and 17a-4 that quickly and cleanly breaks down these rules

Grab our Cheat Sheet to find out:

  • What exactly Reg BI has changed
  • What you need to keep records of
  • How this data needs to be stored (and for how long)

Grab your copy: