{"abstract":"The Securities and Exchange Commission today is adopting amendments to its broker-dealer books and records rules. The amendments clarify and expand recordkeeping requirements with respect to purchase and sale documents, customer records, associated person records, customer complaints, and certain other matters. In addition, the amendments expand the types of records that broker-dealers must maintain and require broker-dealers to maintain or promptly produce certain records at each office to which those records relate. These amendments are specifically designed to assist securities regulators when conducting sales practice examinations of broker-dealers, particularly examinations of local offices.","action":"Final rule; request for comments on Paperwork Reduction Act burden estimate.","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2001/11/02/01-27439.html","cfr_references":[{"chapter":null,"citation_url":null,"part":240,"title":17},{"chapter":null,"citation_url":null,"part":242,"title":17}],"citation":"66 FR 55818","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"May 2, 2003.","disposition_notes":null,"docket_ids":["Release No. 34-44992","File No. S7-26-98"],"dockets":[],"document_number":"01-27439","effective_on":null,"end_page":55841,"executive_order_notes":null,"executive_order_number":null,"explanation":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2001/11/02/01-27439.xml","html_url":"https://www.federalregister.gov/documents/2001/11/02/01-27439/books-and-records-requirements-for-brokers-and-dealers-under-the-securities-exchange-act-of-1934","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/01-27439?publication_date=2001-11-02","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2001-11-02/01-27439/mods.xml","not_received_for_publication":null,"page_length":24,"page_views":{"count":1333,"last_updated":"2026-04-04 14:15:05 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2001-11-02/pdf/01-27439.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":null,"publication_date":"2001-11-02","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2001/11/02/01-27439.txt","regulation_id_number_info":{"3235-AH04":{"issue":"200104","html_url":"https://www.federalregister.gov/regulations/3235-AH04/amendments-to-rules-17a-3-and-17a-4-under-the-securities-exchange-act-of-1934","title":"Amendments to Rules 17a-3 and 17a-4 Under the Securities Exchange Act of 1934","xml_url":"http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=200104&RIN=3235-AH04&operation=OPERATION_EXPORT_XML","priority_category":"Substantive, Nonsignificant"}},"regulation_id_numbers":["3235-AH04"],"regulations_dot_gov_info":{},"regulations_dot_gov_url":null,"significant":false,"signing_date":null,"start_page":55818,"subtype":null,"title":"Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934","toc_doc":"Brokers and dealers; books and records requirements","toc_subject":"Securities:","topics":["Brokers","Reporting and recordkeeping requirements","Securities"],"type":"Rule","volume":66}