Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934

OGC-97-22: Published: Feb 25, 1997. Publicly Released: Feb 25, 1997.


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Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new rule on reporting requirements for brokers or dealers under the Securities Exchange Act of 1934. GAO noted that: (1) the rule would allow broker-dealers to employ, under certain conditions, electronic storage media to maintain records required to be retained; (2) the preamble to the final rule also contains an interpretation of the Commission's record preservation rule relating to the treatment of electronically generated communications; and (3) SEC complied with applicable requirements in promulgating the rule.

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  • finance icon, source: Comstock

    Priority Open Recommendations:

    Department of the Treasury
    GAO-20-549PR: Published: Apr 23, 2020. Publicly Released: Apr 30, 2020.

Apr 27, 2020

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