How Long Is The SEC Required To Keep Your Form 4?

Earlier this year, I tried to figure out the rules applicable to record retention at the Securities and Exchange Commission. Here is what I’ve learned:

The Federal Records Act of 1950, codified at 44 U.S.C. ch. 31, establishes the framework for records management programs for the SEC and other federal agencies. The National Archives and Records Administration (NARA) is responsible for assisting federal agencies in maintaining adequate and proper documentation of policies and transactions of the federal government. This is done by appraising records (determining record value and final disposition of temporary or permanent records), regulating and approving the disposition of federal records, operating Federal Records Centers and preserving permanent records.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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