Sources

> Disclaimer: This content is for educational and reference purposes for software builders only. It does not constitute medical, legal, financial, or regulatory advice. Consult a qualified professional before making decisions based on this content.

Primary Regulatory Sources

SEC Rules - Electronic Code of Federal Regulations (eCFR)

  • Rule 17a-3 - Records to be Made by Certain Exchange Members, Brokers and Dealers
    • https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.17a-3
    • Rule 17a-4 - Records to be Preserved by Certain Exchange Members, Brokers and Dealers
    https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.17a-4
    • Regulation SCI (17 CFR Part 242, Subpart D) - Systems Compliance and Integrity
    https://www.ecfr.gov/current/title-17/chapter-II/part-242/subpart-D
    • Regulation NMS (17 CFR Part 242) - Regulation of the National Market System
    https://www.ecfr.gov/current/title-17/chapter-II/part-242
    • Rule 15c3-3 - Customer Protection Rule
    https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.15c3-3
    • Rule 10b-5 - Employment of Manipulative and Deceptive Practices
    https://www.ecfr.gov/current/title-17/chapter-II/part-240/section-240.10b-5
    • Rule 204-2 - Investment Adviser Books and Records
    https://www.ecfr.gov/current/title-17/chapter-II/part-275/section-275.204-2
    • Regulation SHO (17 CFR §§ 242.200–204) - Short Sales
    https://www.ecfr.gov/current/title-17/chapter-II/part-242/subpart-B

    SEC.gov Official Guidance

  • SEC EDGAR Full-Text Search API Documentation
    • https://efts.sec.gov/LATEST/search-index?q=%2217a-4%22&dateRange=custom&startdt=2020-01-01
    • SEC Electronic Filing Reference Guide (EDGAR Filer Manual)
    https://www.sec.gov/info/edgar/edgarfm-vol2-v59.pdf
    • SEC Release No. 34-89240 - Amendments to Electronic Recordkeeping Rules (2020)
    https://www.sec.gov/rules/final/2020/34-89240.pdf
    • SEC Investor Publications - Understanding Broker-Dealer Registration
    https://www.sec.gov/reportspubs/investor-publications/divisionsmarketregbdguide.htm
    • SEC Regulation SCI Adopting Release (Release No. 34-73639)
    https://www.sec.gov/rules/final/2014/34-73639.pdf

    FinCEN - AML and BSA

  • FinCEN SAR Filing Instructions
    • https://www.fincen.gov/resources/statutes-regulations/guidance/suspicious-activity-report-sar-activity-review-by-numbers
    • FinCEN Currency Transaction Report (CTR) Instructions
    https://www.fincen.gov/resources/filing-information/currency-transaction-report
    • FinCEN CDD Final Rule (31 CFR § 1010.230)
    https://www.fincen.gov/sites/default/files/2016-06/CDD_NPRM_20160505.pdf
    • FinCEN BSA E-Filing System
    https://bsaefiling.fincen.treas.gov/main.html

    FINRA Rules

  • FINRA Rule 4511 - General Requirements for Books and Records
    • https://www.finra.org/rules-guidance/rulebooks/finra-rules/4511
    • FINRA Rule 4512 - Customer Account Information
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/4512
    • FINRA Rule 4370 - Business Continuity Plans and Emergency Contact Information
    https://www.finra.org/rules-guidance/rulebooks/finra-rules/4370

    Statutes

  • Securities Exchange Act of 1934 (15 U.S.C. § 78a et seq.)
    • https://uscode.house.gov/view.xhtml?path=/prelim@title15/chapter2B&edition=prelim
    • Securities Act of 1933 (15 U.S.C. § 77a et seq.)
    https://uscode.house.gov/view.xhtml?path=/prelim@title15/chapter2A&edition=prelim
    • Bank Secrecy Act (31 U.S.C. § 5311 et seq.)
    https://uscode.house.gov/view.xhtml?path=/prelim@title31/subtitle4/chapter53&edition=prelim

    Secondary Technical References

    • GLEIF - Global LEI Foundation (LEI lookup and validation)
    https://www.gleif.org/en/lei-data/gleif-lei-look-up-api
    • XBRL International - XBRL specification and US-GAAP taxonomy
    https://www.xbrl.org/the-standard/what/an-introduction-to-xbrl/
    • SIFMA - Model Notices for Electronic Records Retention
    https://www.sifma.org/resources/submissions/books-and-records/
    • AWS S3 Object Lock - Compliance Mode documentation
    https://docs.aws.amazon.com/AmazonS3/latest/userguide/object-lock.html
    • Azure Blob Storage Immutable Storage documentation
    https://learn.microsoft.com/en-us/azure/storage/blobs/immutable-storage-overview
    • FinCEN 314(a) Information Sharing Programme
    https://www.fincen.gov/financial-institutions/314a