SEC Extends Broker Record-Keeping Rules Amid Million-Hour Burden
Published Date: 11/18/2025
Notice
Summary
The SEC is asking to keep the rules that require broker-dealers to keep detailed business records so regulators can check they’re playing fair and following the law. Over 3,300 broker-dealers spend nearly 10 million hours and about $139 million yearly on these record-keeping tasks. This extension keeps things running smoothly with no big changes, so everyone stays on the same page.
No Economic Impacts Identified for this Document
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