Monthly Archives: November 2014
FINOP News – FINRA South Region Compliance Seminar
November 21, 2014 FINRA Financial and Operations Update The FINRA South Region Compliance Seminar was held on November 20… Continue reading »
SEC Rule 17a-4 – An Old Rule in a New World
Electronic Recordkeeping and FINRA Email Retention Requirements – SEC Rule 17a-4(f) The electronic recordkeeping requirements for broker-dealers are spelled out… Continue reading »