Regulatory Notice 18-31

SEC Staff Issues Guidance on Third-Party Recordkeeping Services

Summary

This Notice provides firms with information regarding recent guidance (the guidance) issued by staff of the SEC’s Division of Trading and Markets (the SEC staff) regarding the use of recordkeeping services provided by third parties to preserve records pursuant to SEA Section 17(a) and SEA Rule 17a-4.

Questions concerning this Notice should be directed to:

  • Kris Dailey, Vice President, Risk Oversight & Operational Regulation (ROOR), at (646) 315-8434;
  • Yui Chan, Senior Director, ROOR, at (646) 315-8426; or
  • Ann Duguid, Senior Director, ROOR, at (646) 315-7260.