17 C.F.R. 240.17a-4 - [Effective 9/10/2019] Records to be preserved by certain exchange members, brokers and dealers

Cite as17 C.F.R. 240.17a-4
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266 practice notes
18 cases
  • U.S. v. Szur, Docket No. 99-1517(L).
    • United States
    • United States Courts of Appeals. United States Court of Appeals (2nd Circuit)
    • May 1, 2002
    ...1952(a)(3) (Counts Twelve through Sixteen); falsifying the books and records of JSS in violation of 15 U.S.C. §§ 78q(a)(1) and 78ff, 17 C.F.R. § 240.17a-4 (Counts Seventeen through Twenty-two); money laundering in violation of 18 U.S.C. § 1956(a)(1)(B)(i) (Counts Twenty-three through Twenty......
  • U.S. v Gold, 2
    • United States
    • U.S. Court of Appeals — Second Circuit
    • May 1, 2002
    ...1952(a)(3) (Counts Twelve through Sixteen); falsifying the books and records of JSS in violation of 15 U.S.C. §§ 78q(a)(1) and 78ff, 17 C.F.R. § 240.17a-4 (Counts Seventeen through Twenty-two); money laundering in violation of 18 U.S.C. § 1956(a)(1)(B)(i) (Counts Twenty-three through Twenty......
  • D'Alessio v. S.E.C., Docket No. 03-4883.
    • United States
    • United States Courts of Appeals. United States Court of Appeals (2nd Circuit)
    • August 16, 2004
    ...NYSE Rules 123, 410, and 440, which implement the record-keeping provisions for brokers and dealers contained in 17 C.F.R. §§ 240.17a-3 and 240.17a-4, require floor brokers to retain all of their trading orders for three In 1994, the petitioners — D'Alessio and his firm — entered into a bus......
  • Fontaine v. Securities and Exchange Commission, Civ. No. 525-65.
    • United States
    • United States District Courts. 1st Circuit. District of Puerto Rico
    • October 3, 1966
    ...such violation by failing to keep and preserve a certain communication required to be preserved under Rule 17a-4 pursuant to that Act, 17 CFR 240.17a-4, and that IOS willfully violated Section 17(a) of that Act, aided and abetted by others of the respondents, by failing to furnish to the Co......
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10 firm's commentaries
  • Anti-Money Laundering and Sanctions: Trends and Developments Emerging Under the Trump Administration
    • United States
    • JD Supra United States
    • July 29, 2019
    ...at 96-97 (citing 31 C.F.R. § 1023.320(b)(3)). 200 Alpine Secs. at 97. 201 Alpine Secs. at 97-99 (citing 31 C.F.R. § 1023.320(d); 17 C.F.R. § 240.17a-4). 202 Alpine Secs. at 44. 203 Press Release, US Dep’t of Justice, Rabobank NA Pleads Guilty, Agrees to Pay Over $360 Million (Feb. 7, 2018),......
  • Regulation Best Interest: What You Need to Know to Prepare for the June 30, 2020 Compliance Date
    • United States
    • JD Supra United States
    • July 11, 2019
    ...is codified in the Securities Exchange Act of 1934 as a new rule at 17 CFR 240.15l-1 and as amendments to 17 CFR 240.17a-3(a)(25), and 17 CFR 240.17a-4(e)(5). Definition of Retail Customer A Retail Customer is defined as a natural person, or the legal representative of such natural person, ......
  • E-Discovery Duties and the Range of Sanctions for Failures to Comply with Them
    • United States
    • Mondaq United States
    • July 14, 2010
    ...(S.D.N.Y. 2006) (reviewing standards for issuance of preservation orders, and applying a three-prong balancing test). For example: 17 C.F.R. §240.17a-4(f) (by certain exchange members, brokers, and dealers); 29 C.F.R. §1602.14 (by See Martin v. Northwestern Mutual Life Ins. Co., 2006 WL 148......
  • Bridging the Week - January 2017
    • United States
    • JD Supra United States
    • January 10, 2017
    ...firm is unable to provide such records. (Click here to access the SEC’s requirements regarding acceptable electronic storage media at 17 CFR 240.17a-4(f).) FINRA claimed that the sanctioned firms typically did not retain electronic records in WORM format, failed to have a required audit sys......
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