SEC Record Retention Schedule

The SEC Record Retention Schedule is a legal template that outlines the specific guidelines and requirements for maintaining and preserving records in compliance with regulations set forth by the U.S. Securities and Exchange Commission (SEC). This document serves as a reference tool for businesses and organizations operating within the financial industry, providing guidance on the retention of various types of records, such as financial statements, audit reports, investor communications, trade confirmations, customer account records, and other relevant documents. The retention schedule ensures that these records are retained for a specified period of time, allowing for proper accountability, transparency, and legal retention obligations. It details the specific retention periods and provides clarity on whether records should be retained in physical or electronic format. By adhering to the SEC Record Retention Schedule, companies can maintain compliance with SEC regulations and establish a framework for effective record-keeping practices.