As of December 2022, the Securities and Exchange Commission (SEC) gives broker-dealers greater flexibility to comply with their electronic record keeping requirements (SEC Rule 17a-4), taking technological advances into account. These amended requirements allow for electronic records to be stored with a cloud vendor, so long as the solution provides a complete, verifiable, time-stamped audit trail that permits the re-creation of an original record with full integrity if it is altered, overwritten, or erased. This ebook provides an in-depth analysis of each of the five requirements under SEC Rule 17a-4 and how Own Blockchain Verify enables customers to meet the requirement.
