![]() The SEC has published several updates and amendments that seek to update these rules in the context of modern storage systems and cloud services, introducing new compliance options for regulated broker-dealers. It established 17 CFR 240.17a-3 and 17 CFR 240.17a-4 to regulate recordkeeping, including retention periods, for securities broker-dealers. ![]() The SEC defines rigorous and explicit requirements for regulated entities that elect to retain books and records on electronic storage media. It wields enforcement authority over federal securities laws, proposes new securities rules, and oversees market regulation of the securities industry. The US Securities and Exchange Commission (SEC) is an independent agency of the US federal government and the primary overseer and regulator of US securities markets.
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