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Do you trust your government? The heart of democracy, "by the people, for the people", requires that government be accountable to it citizens. And, if there is no trust there, how can democracy flourish?
Financial firms are naturally cautious when it comes to new communication technology. After all, they understand that regardless of the medium the general rule applies; they are accountable for all business communications. Plus, each new communication channel comes with its specific compliance issues that need to be figured out BEFORE any actual use.
What Is The Securities Exchange Act (SEA) Rule 17a-3? Rule 17a-3, part of the Securities Exchange Act (SEA), is a regulation issued by the U.S Securities and Exchange Commission (SEC). Anyone working within trading securities, either as a broker or dealer, needs to have a clear understanding of what it demands.