Articles in: SEC Rule 17a-4

SEC Rules 17a-3 and 17a-4 Compliance

Answering the whos, whats, and hows of regulatory compliance with SEC Rules 17a-3 and 17a-4

Who has to comply with these rules? In short, these regulations apply to anyone who trades securities as a broker, dealer, or as any part of the stock market trading process. What […]