November 21, 2014 FINRA Financial and Operations Update The FINRA South Region Compliance Seminar was held on November 20 and 21, 2014 in Fort Lauderdale, Florida. During the session on Financial and Operational Issues …
Month: November 2014
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 in SEC Rule 17a-4(f). SEC Rule 17a-4 is known as the broker-dealer record retention rule. …