The Final Frontier of SEC Rule 17A-4(f)

The Final Frontier of SEC Rule 17A4F

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

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