List of SEC, FINRA and CFTC Compliance Records

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17a-4 provides Designated Third Party services for clients required to adhere to SEC (Rule 17a-4), FINRA and CFTC (Rule 1.31) regulations. An updated compliance records list to assist with internal records reviews is now available from 17a-4.

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The size of the regulatory fines make it now necessary for all SEC-regulated firms to do a complete review of their records

17a-4, LLC has prepared an updated a list of compliance records required to be retained by SEC, FINRA and CFTC regulations. Based on involvement in many client regulatory exams and now FINRA’s recent fines for 12 firms for failing to retain records in non-erasable storage 17a-4 has compiled the list of regulated records to assist financial institutions in the review of their electronic records. 17a-4 offers Designated Third Party and related compliance services to broker dealer clients.

SEC Rule 17a-4 and other regulations have very specific requirements for the retention of electronic records. Reviewing electronic records for compliance has been an examination priority for regulations in 2016 and will be again in 2017. As a complimentary document, 17a-4, llc has prepared a spreadsheet with the regulatory records required to be retained. 17a-4, as part of Designated Third Party reviews and in other compliance engagements, recommends that all SEC-regulated institutions review the systems and methodologies used to retain records and create a road map to address any records which are not currently in compliance.

“The size of the regulatory fines,” offers Charles Weeden, “make it now necessary for all SEC-regulated firms to do a complete review of their records to ensure that retention policies and procedures conform to regulations such as SEC Rule 17a-4 and CFTC 1.31.”

Each regulatory record should be mapped to a system whether on-premise or in the cloud, the storage media defined as well as when the Letter of Notification (Attestation) (Rule 17a-4(f)(2)(i)) was filed and how and when disposition of those records will occur.

To request the list of compliance records from 17a-4 email sales(at)17a-4.com or call 212-949-1724.

About 17a-4 llc:

17a-4 is a compliance services and software company with a focus on e-messaging and software solutions to meet regulatory and e-discovery needs of institutional clients. Clients that are required to adhere to SEC (Rule 17a-4), FINRA and CFTC (Rule 1.31) regulations leverage 17a-4’s expertise to ensure their information infrastructure is in compliance.
17a-4 provides the DataParser for messaging compliance and the SEC-FINRA DeskTop a hosted platform for SEC and FINRA documents and regulatory workflows. 17a-4’s architecture provides for a single-point in which all e-messaging content may be managed for retention, legal and regulatory holds and e-discovery productions.
17a-4 is based in New York City but operates remote offices nationwide.

All product and company names herein may be trademarks of their registered owners.

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