What We Archive

SEC Rule 17a-4 is a regulatory provision established by the U.S. Securities and Exchange Commission (SEC) governing the retention and preservation of electronic records by broker-dealers and other financial institutions. Enacted under the Securities Exchange Act of 1934, Rule 17a-4 mandates stringent standards for the storage and accessibility of records related to securities transactions, customer accounts, and brokerage operations. The rule specifies requirements for the format, duration, and accessibility of these records, ensuring that they are preserved in a non-rewritable, non-erasable format and maintained for a minimum period of at least six years. Additionally, Rule 17a-4 outlines stipulations for promptly furnishing records to regulatory authorities upon request. Compliance with Rule 17a-4 is crucial for financial entities to meet regulatory obligations, safeguard investor interests, and facilitate effective oversight of the securities industry.