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SEC & FINRA · Research

SEC Recordkeeping Requirements for 2026: What Firms Must Retain, and How

A working reference to the 2026 recordkeeping obligations for broker-dealers, from the amended Rule 17a-4 audit-trail option to the off-channel communications sweep.

Sarah Mitchell · New York · January 12, 2025 · 9 min read

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One discipline, many regulators.

Any organisation that must keep records, prove controls, and answer to a regulator faces the same engineering problem, whoever the regulator is. Each body below anchors a pillar and a cluster.

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