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 »