SEC Rule 17a-4 and the FINRA supervision rules
17 CFR § 240.17a-4, FINRA Rules 3110 and 4511 · Read 2026-08-15
In force. The amended electronic recordkeeping requirements applied from 3 May 2023 for broker-dealers.
Identifier
- Identifier
- 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511
- Level
- Federal
- Status
- In force
- Adopted
- 2022-10-12
- Applies from
- 2023-05-03
- Supervisory bodies
- SEC, FINRA
Named requirements
Retention periods
How long each category of record is kept and in what form.
Audit-trail or write-once storage
An electronic system that either preserves an audit trail or writes records once.
Supervisory system
FINRA Rule 3110
Written supervisory procedures, including review of business communications.
Books and records
FINRA Rule 4511
Making and preserving the books and records the rules require.
Official source
United States case law
19 decisions · Read from CourtListener, Free Law Project on 2026-08-22.
- Thrivent Financial for Lutherans v. SEC
D.C. Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the D.C. Circuit when you click. No permanent storage on our side.
- Eric Smith v. SEC
6th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Sixth Circuit when you click. No permanent storage on our side.
- Natl Horsemen's Benevolent v. Black
5th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Fifth Circuit when you click. No permanent storage on our side.
- Carroll v. Trump
2d Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Second Circuit when you click. No permanent storage on our side.
- Eric Smith v. SEC
6th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Sixth Circuit when you click. No permanent storage on our side.
- Ryan Paul v. FAA
D.C. Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the D.C. Circuit when you click. No permanent storage on our side.
- U.S. Securities and Exchange Commission v. Spartan Securities Group, LTD
11th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Eleventh Circuit when you click. No permanent storage on our side.
- State of Oklahoma v. United States
6th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Sixth Circuit when you click. No permanent storage on our side.
- Jorge Lujan v. FMCSA
D.C. Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the D.C. Circuit when you click. No permanent storage on our side.
- Natl Assoc Priv Fund Mgr v. SEC
5th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Fifth Circuit when you click. No permanent storage on our side.
- United States v. Shawn Baldwin
7th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Seventh Circuit when you click. No permanent storage on our side.
- American Securities Association v. U.S. Securities and Exchange Commission
11th Cir.Open to review by a higher court, the source does not state the outcome
Ask NovaCopilotGet the opinionRetrieved directly from Court of Appeals for the Eleventh Circuit when you click. No permanent storage on our side.
Change monitoring
The row is re-read against the publisher's own publication on a fixed interval. The dates below can be checked on the spot and travel with the API response.
| Field | Value |
|---|---|
| Register | SEC, 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511 |
| Publisher | U.S. Securities and Exchange Commission |
| Last read | 2026-08-15 |
| Interval | Every 30 days |
| Next re-read | 2026-09-14 |
| Status | Re-read overdue |
Row history
Dated events concerning this exact row, newest first. No event appears here without a date in a primary source.
| Date | Event | Source |
|---|---|---|
| 2026-08-15 | Row read against the official publication | U.S. Securities and Exchange Commission |
| 2023-05-03 | Date of application according to the publisher | U.S. Securities and Exchange Commission |
| 2022-10-12 | Adopted under 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511 | U.S. Securities and Exchange Commission |
Monitoring states when the row was checked, not how the legal position should be assessed.
Cite this row
The string below travels with a memo, a case file or an agent chain. The same string sits in the citation field of the API response.
17 CFR § 240.17a-4, FINRA Rules 3110 and 4511, SEC Rule 17a-4 and the FINRA supervision rules. NovaCopilot, https://legal.exploreworldai.com/us/regler/finra-sec-recordkeeping (hämtad 2026-10-26, bevis sha256:3df092328cb86a74, bygge legal-2026-10-26).
- sha256:
- 3df092328cb86a7478b03f5a53adc8327aa0f3cc2cbdc8ec0f9d2bafb3c3e180
- hämtad:
- 2026-10-26
- source_confidence:
- derived
- bygge:
- legal-2026-10-26
- officiell källa:
- https://www.sec.gov/
Derived path to the publisher. The address is built from the identifier and lands in the publisher's own register. sec.gov.
The row is a source reference with an official identifier. No legal advice and no compliance decision.
Verifiable trust signals
- Source-linked answers and explicit evidence gaps
- Obligations, controls, risks and consequences
- Stable objects and verifiable checksums
- Rule-based objects, optional source-linked reasoning
- Model card, source status and audit