*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

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

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