E-Mail and Electronic Records
SIFMA RESOURCES
Comment & Recommendation Letters
Comment & Recommendation Letters
- SIFMA comment letter Responding to SEC regarding proposed revisions to Rule 17a-4 - June 26, 2007 (& Proposal Related to Rule 17a-4(b)(4)))
- SIFMA E-Records Modernization Task Force Letter to SEC Re: open issues regarding proposed revisions to Rule 17a-4 of the Securities Exchange Act of 1934 - March 23, 2006
- Attachment: SIFMA Proposal to Revise 17a-4(b)(4) - March 2007 comparison
- Letter to the SEC re: Modernization of Securities Exchange Act Rule 17a-4 (Electronic Records & E-mail Retention) - Follow-up - pdf, November 2, 2006
- Letter to the SEC re: Modernization of Securities Exchange Act Rule 17a-4 (Electronic Records & E-mail Retention) - Request for a Meeting - pdf, April 7, 2007
- SIA Letter to SEC: Clarify Email Retention, Storage Requirements, Response To The Commission's Notice Soliciting Comments On The Collection Of Information Pursuant To SEC Recordkeeping Rules - pdf 5.0, February 4, 2005
- SIA Comments to the SEC Regarding the Record Storage Rule and its Inadequate and Inefficient Technical Requirements - pdf 5.0 - February 21, 2003
- Proposed Amendment to Rules under the Investment Company and Investment Adviser Acts Regarding Electronic Recordkeeping by Investment Companies and Investment Advisers (Release Nos. IC-24890 and IA-1932; File No. S7-06-01) - pdf 4.0 - April 19, 2001
- Letter to SEC on record retention and storage requirements of Rule 17a-4 - pdf 4.0 - June 29, 2001
- SEC Presentation - Record Retention Data - pdf 4.0 - May 22, 2001
- SIA's Recommended Changes to 17 CFR 240.17a-4 - pdf 4.0 - June 29, 2001
- SIA Record Storage Meeting of August 6, 2002 - Summary of Consensus Views and Recommendations - pdf 4.0 - September 27, 2002
- Email Record Retention and Storage Issues Background and Important Points - pdf 4.0 - June 15, 2002
- Presentations from the October 27, 2006 Electronic Records Forum
- SEC Presentation - Record Retention Data - pdf 4.0 - May 22, 2001
- Presentation to the SEC - Electronic Records Storage Rule 17a-4(f) - pdf 4.0 - February 27, 2001