Rule 17a-7; Records of non-resident brokers or dealers.

Rule 17a-7 was adopted in 1956, and requires non-resident brokers or dealers registered with the Securities Exchange Commission to make and keep copies of requisite books and records in the United States or to file an undertaking agreeing to make them available to the Commission upon request.

The latest form for Rule 17a-7; Records of non-resident brokers or dealers. expires 2022-09-30 and can be found here.