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SEC Rule 17a-3 & FINRA Records Retention Requirements Explained

Financial industry recordkeeping regulatory requirements like the U.S. Securities and Exchange Commission (SEC) Rules 17a-3 and 17a-4, and the Financial Industry Regulatory Authority (FINRA) Rules 4511 and 2210, play a crucial role in maintaining the integrity of the U.S. financial markets. These regulations are not just bureaucratic formalities; their oversight involves ensuring that financial services firms adhere to stringent record retention requirements, essential for the transparency, accountability, and trust that underpin the financial system.

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SEC Rule 17a-3 & FINRA Records Retention Requirements Explained

Financial industry recordkeeping regulatory requirements like the U.S. Securities and Exchange Commission (SEC) Rules 17a-3 and 17a-4, and the Financial Industry Regulatory Authority (FINRA) Rules 4511 and 2210, play a crucial role in maintaining the inte

    What Is Swatting? And How Can You Prevent It?

    What happens when online harassment crosses the digital divide? For a decade, the practice of swatting has been on the rise, and featured in news stories the world over.

    Why Now is the Time for Government Agencies to Automate Recordkeeping

    Government agencies today are facing unprecedented pressure to do more with less. Recordkeeping teams, responsible for critical functions like responding to open records requests and FOIA compliance, are increasingly challenged by staff reductions and the ever-growing volume and complexity of digital records.