Tag: FINRA email retention

FINRA Broker-dealer Consulting

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. …

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