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SEC Rule 17a-3 and Recordkeeping Compliance

What Is Rule 17a-3? Rule 17a-3 is a regulation issued by the U.S Securities and Exchange Commission (SEC) that outlines requirements and standards of retention, management, and availability of data pursuant to transactions and trading in the financial and exchange sector - with special provisions for business-related electronic correspondence. It is a well-known industry and federal fact that investors have a duty and obligation to conduct strict record management standards in their transactions of securities, including copies of blotters, account statements, trade confirmations, cancelled checks and more.

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