Electronic Recordkeeping

At the request of an FIF member, FIF has scheduled a call for the FIF electronic recordkeeping sub-group for Tuesday November 14 at 1:30 pm ET to discuss the requirement under SEC Rule 17a-11(c) for a broker-dealer to provide same-day notice to the SEC and FINRA if the firm fails to make and keep current any books and records required by SEC Rule 17a-3. If you are interested in participating in this discussion and are not already a participant in the FIF electronic recordkeeping sub-group, please send a note to fifinfo@fif.com, and we will include you in this discussion.

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