17 C.F.R. §240.17a-4 - Records to be preserved by certain exchange members, brokers and dealers
| Cite as | 17 C.F.R. §240.17a-4 |
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11 firm's commentaries
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Anti-Money Laundering and Sanctions: Trends and Developments Emerging Under the Trump Administration
...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),......
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Regulation Best Interest: What You Need to Know to Prepare for the June 30, 2020 Compliance Date
...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, ......
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E-Discovery Duties and the Range of Sanctions for Failures to Comply with Them
...(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......
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Bridging the Week - July 2017 #2
...old record, also as required by SEC rule. (Click here to access the SEC’s requirement regarding acceptable electronic storage media at 17 CFR 240.17a-4(f).) Similarly, Acorns Securities, which acts as an introducing broker-dealer, consented to remit a fine of US $175,000 for likewise failin......
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