Ariz. Admin. Code § 14-4-132

Current through Register Vol. 30, No. 25, June 21, 2024

Section R14-4-132 - Books and Records of Dealers

A. Unless otherwise provided by order of the Commission, each registered dealer shall make, maintain, and preserve books and records in compliance with U.S. Securities and Exchange Commission rules 17a-3 ( 17 CFR 240.17 a- 3(2002) ) and 17a-4 ( 17 CFR 240.17 a- 4(2002) ) as amended in Release No. 34-44992, 66 Fed. Reg. 55817 (2001); 15g ( 17 CFR 240.15g(2002) ); and 15c2-11 ( 17 CFR 240.15c2 - 11(2002) ), all of which are incorporated by reference. Copies of the materials are available from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402, from the Commission, and are on file with the Office of the Secretary of State.

B. To the extent that the U.S. Securities and Exchange Commission promulgates changes to the above-referenced rules, dealers in compliance with such rules as amended shall not be subject to enforcement action by the Commission for violation of this rule to the extent that the violation results solely from the dealer's compliance with the amended rule.

Ariz. Admin. Code § R14-4-132

Adopted effective November 4, 1992 (Supp. 92-4). Amended by final rulemaking at 9 A.A.R. 1073, effective May 3, 2003 (Supp. 03-1). R14-4-132(A) reflects corrected SEC release number (Supp. 05-4).