*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

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