For Your Information - March 2003

This article is intended to clarify a factual reference to SEC Rule 17a-4 (f)(2)(i) previously reported in the Fall 2000, Volume 14.3, of the NASD Regulatory & Compliance Alert.

SEC Rule 17a-4 (f)(2)(i)

Q:   If a broker/dealer intends to store records using electronic storage media, can a third party vendor provide services to a broker/dealer if the third-party vendor is an affiliated company?

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