Rule 17a-7, Records of non-resident brokers or dealers

Rule 17a-7 (17 CFR 240.17a-7) requires a non-resident broker-dealer (generally, a broker-dealer with its principal place of business in a place not subject to the jurisdiction of the United States) to maintain--in the United States--complete and current copies of books and records required to be maintained under any rule adopted under the Securities Exchange Act of 1934 and furnish to the Commission a written notice specifying the address where the copies are located. Alternatively, Rule 17a-7 provides that non-resident broker-dealers may file with the Commission a written undertaking to furnish the requisite books and records to the Commission upon demand within 14 days of the demand.

The latest form for Rule 17a-7, Records of non-resident brokers or dealers expires 2028-11-30 and is listed under ICR 202505-3235-008.