The U.S. Securities and Exchange Commission (SEC) Rules 17a-3, 17a-4, and 17ad-7 were implemented under the Securities Exchange Act of 1934 which outlines data retention and accessibility standards for the securities industry. SEC Rule 17 regulates brokerage firms, transfer agents, clearing agencies, and the nation’s self-regulatory organizations (SROs) and specifies which documents should be retained, including purchase and sale documents, customer records, associated person records, customer complaints, and “certain other matters.”
What if you could ensure your organization maintains SEC Rule 17 compliance while also increasing the efficiency of your organization and save money?
ECMNOW! utilizes the latest technologies in order to digitize, manage, store, and route data while maintaining retention and accessibility standards, saving your securities organization time and money.
Learn more about SEC Rule 17 and how ECMNOW! can help you stay compliant and save money by reading this 2-page brief!