Rule 17a-1 requires that all national securities exchanges and associations, registered clearing agencies, and the Municipal Securities Rulemaking Board keep on file for a period of five, two years in an accessible place, all documents that they make or receive respecting their self-regulatory activities, and that such documents be made available for examination by the Commission.
The latest form for Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board. expires 2023-01-31 and can be found here.
Document Name |
---|
Supplementary Document |
Supplementary Document |
Supplementary Document |
Supplementary Document |
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight