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
- Eric Smith v. SEC
6th Cir.Open to review by a higher court, the source does not state the outcome
- Natl Horsemen's Benevolent v. Black
5th Cir.Open to review by a higher court, the source does not state the outcome
- Carroll v. Trump
2d Cir.Open to review by a higher court, the source does not state the outcome
- Eric Smith v. SEC
6th Cir.Open to review by a higher court, the source does not state the outcome
- Ryan Paul v. FAA
D.C. Cir.Open to review by a higher court, the source does not state the outcome
- 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
- State of Oklahoma v. United States
6th Cir.Open to review by a higher court, the source does not state the outcome
- Jorge Lujan v. FMCSA
D.C. Cir.Open to review by a higher court, the source does not state the outcome
- Natl Assoc Priv Fund Mgr v. SEC
5th Cir.Open to review by a higher court, the source does not state the outcome
- United States v. Shawn Baldwin
7th Cir.Open to review by a higher court, the source does not state the outcome
- 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
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 | Checked against the publisher |
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. ExploreWorld Legal, https://legal.exploreworldai.com/us/regler/finra-sec-recordkeeping (hämtad 2026-08-25, bevis sha256:d0241c7406ca9bb3, bygge legal-2026-08-25).
- sha256:
- d0241c7406ca9bb3cb511c65a8c0e079409b5f2babaca6ad35f70cfd71973933
- hämtad:
- 2026-08-25
- source_confidence:
- derived
- bygge:
- legal-2026-08-25
- 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
- Six fixed blocks, one source per line
- No sentence written by a language model
- Engine version and read date on every answer
- No customer data, no documents, no advice
- Model card and audit published under the EU AI Act