General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 17a-1 -- Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies and the Municipal Securities Rulemaking Board
Every national securities exchange, national securities
association, registered clearing agency and the Municipal Securities Rulemaking Board
shall keep and preserve at least one copy of all documents, including all correspondence,
memoranda, papers, books, notices, accounts, and other such records as shall be made
or received by it in the course of its business as such and in the conduct of its
self-regulatory activity.
Every national securities exchange, national securities
association, registered clearing agency and the Municipal Securities Rulemaking Board
shall keep all such documents for a period of not less than five years, the first
two years in an easily accessible place, subject to the destruction and disposition
provisions of Rule 17a-6.
Every national securities exchange, registered securities
association, registered clearing agency and the Municipal Securities Rulemaking Board
shall, upon request of any representative of the Commission, promptly furnish to
the possession of such representative copies of any documents required to be kept
and preserved by it pursuant to paragraphs (a) and (b) of this section.
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