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Finance Dictionary and Glossary of Investment Terms
Rule 17a-3
Definition 1.
Securities and Exchange Commission rule that specifies the books and records related to the securities business that brokers and dealers have to make and keep current. Rule 17a-4 Securities and Exchange Commission rule that specifies the time period that broker/dealers must preserve Rule 17a-3 records and other documents pertaining to the business. (See Rule 17a-3)
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