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Electronic Record Keeping and Retention Consistent with rules 17a-3, 17a-4.

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Oct 15, 2008 . Records to be Made and Preserved. SEA Rule 17a-3 (PDF 108 KB); SEA Rule

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SEC 17a-3 specifies the records to be made by Certain Exchange members

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Keeping and Preservation of Records. SEC Rule 17a-3. Records to be Made by

SEC 17a-3 & 4 are regulations and associated rules that govern all broker/dealer

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SEC rules 17a-3 and 17a-4 require broker dealers to "make and keep current"

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270.17a-3 Exemption of transactions with fully owned subsidiaries. (a) The

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Evidence: Table 17A.3 lists the evidence for this and the other propositions. The

May 20, 2003 . 2 Rule 17a-4 defines that term as "any digital storage medium or system."3

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