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? Implementing Enterprise Content Management (ECM) solutions that utilize the latest technologies in order to digitize, manage, store, and route data while maintaining retention and accessibility standards, can save your securities organization time and money.
Learn more about SEC Rule 17 and how you can stay compliant and save money by reading this two-page compliance brief that helps you math specific SEC Rules with the technology you need to become compliant.
Learn more by downloading this brief.