SEC Reminds Brokers to Keep Three-Year Risk Check Files
Published Date: 7/20/2026
Notice
Summary
The SEC is asking broker-dealers to keep written proof of their risk checks for certain securities for at least three years, with the first two years easy to access. This rule helps the SEC review these records during exams and doesn’t add big costs, just some time to keep things organized. If new firms start using this rule, they’ll spend about 25 hours updating their systems to comply.
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