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)
