Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Regulatory Release

Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

Details

Rule Type

Interpretive

Release Number

34-47910

SEC Issue Date

May 22, 2003 | 1:26 pm ET

Federal Register Publish Date

May 29, 2003 | 6:16 pm ET

Document Citation

68 FR 32307

Resources

Federal Register Version

Last Reviewed or Updated: May 25, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

Details

Resources

More in About

Breadcrumb

Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934

Details

Resources