Statements (24)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
securities regulation
|
| gptkbp:amendedBy |
multiple times
|
| gptkbp:appliesTo |
broker-dealers
FINRA members electronic storage media |
| gptkbp:citation |
SEC enforcement actions
|
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| https://www.w3.org/2000/01/rdf-schema#label |
SEC 17a-4
|
| gptkbp:partOf |
gptkb:Securities_Exchange_Act_of_1934
|
| gptkbp:relatedTo |
SEC 17a-3
|
| gptkbp:requires |
retention of records
audit system for electronic records indexing of records non-rewriteable, non-erasable storage preservation of electronic communications prompt production of records upon request third-party access to records written procedures for recordkeeping |
| gptkbp:section |
17 CFR 240.17a-4
|
| gptkbp:specifies |
retention periods for records
|
| gptkbp:startDate |
1997
|
| gptkbp:bfsParent |
gptkb:write-once-read-many_(WORM)_storage
gptkb:WORM_(Write_Once_Read_Many) |
| gptkbp:bfsLayer |
7
|