TBMA Submits Comments to the SEC on E-Mail Record Retention Requirements
Published on:
August 21, 1998
The Bond Market Association (TBMA) provides comments to the Securities and Exchange Commission (SEC) on a draft Division of Market Regulation legal bulletin regarding e-mail record retention requirements, in particular, broker-dealer recordkeeping obligations under Securities Exchange Act of 1934 (Exchange Act) Rule 17a-4(b)(4) in the context of e-mail communications. TBMA offers its observations and recommendations relating to the draft bulletin, in addition to asking the SEC additional questions about the proposal.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.