*Letters

Proposed Revisions to Rule 17a-4 of the Securities Exchange Act of 1934

Published on:
March 23, 2007

The E-Records Modernization Task Force of SIFMA provides comments to the Securities and Exchange Commission (SEC) on proposed revisions to Rule 17a-4 of the Securities Exchange Act of 1934 (Exchange Act).  After a meeting with members of SIFMA’s Task Force, the SEC requested comments on the proposed revisions and responses to several of the open issues relating to the proposed revisions.  SIFMA encourages the SEC to further enhance the revisions to meet the technology needs of SIFMA members’ firms without any corresponding harm to the SEC’s and the industry’s investment protection efforts.

See, also:

Petition for Rulemaking to Amend Exchange Act Rule 17a-4(f) – Addendum, May 24, 2018

SIFMA Submits Rulemaking Petition on SEC Electronic Recordkeeping Requirements – Nov. 14, 2017

Details

Download

More Content

  • Letters
    May 20, 2026

    Sunset of Large Trader Reporting (LTR) for Physical Commodity Swaps pursuant to Regulation 20.9

    SIFMA, ISDA, and FIA urged the CFTC to sunset certain Part 20 physical commodity swap reporting requirements.
  • Letters
    May 19, 2026

    CFTC-SEC Harmonization

  • Letters
    May 19, 2026

    Amendments to Electronic Submission Requirements for Security-based Swap Dealer Valuation Dispute Reports and ANE Exception Notices

    SIFMA comments on the SEC’s proposed FOCUS Report amendments, highlighting concerns with new electronic submission requirements.

Get the latest trends, stats, and research on financial markets and securities.