The Final Frontier of SEC Rule 17A-4(f)
In 1997, the Securities and Exchange Commission (“SEC”) issued Rule 17A-4(f), which authorized broker-dealers to store their required books and records in electronic format.
In This Report You'll Learn About:
- Rule 17A-4(F) and the designated third party (D3P) requirement
- The benefits of choosing D3P compliance
- Choosing the right D3P
Complete the form to get your copy