Jump to: Current Customers | Main Menu | Content | Footer

SEC Rules pertaining to email

U.S. Security and Exchange Commission Rules 17a-3 and 17a-4

Rules for financial firms

SEC Rules 17a-3 and 17a-4, part of the Securities Exchange Act of 1934, revised in 1998 and then again in 2002 detail rules for electronic record retention standards for brokers/dealers.

Rule 17a-3 spells out which records brokers/dealers must keep current, while Rule 17a-4 specifies how long those records must be kept.


Rule 17a-3 and 4 dictates that brokerages, dealers and transfer agents must preserve electronic data generated on nonrewritable, nonerasable media for a period of not less than six years. Companies must keep logs of when the data is accessed and modified. These logs must show that the data, including that contained in e-mail and instant messages, has not been altered or deleted. Data relating to a particular transaction must be capable of being retrieved quickly for a period of two years from whatever media it is stored on, so a complete record of the transaction can be readily available should the SEC ask for it.

Read more at the SEC website:

InboxSolutions Blog LogoRead the InboxSolutions Blog
Who we are, what we're thinking, how we're working hard to bring you the best possible email service.
InboxSolutions Community LogoInboxSolutions Community
Read up on our technology, our services, and ask questions.