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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

    Understanding WORM Compliance: What is WORM Storage & Why Do You Need It?

    WORM storage, or "write once, read many" (WORM) compliant storage, is a regulatory necessity in industries like finance, healthcare, and government.

    How to Archive a Website for Legal and Compliance

    If you're searching for how to archive a website and have found yourself here, it’s likely because you’ve already tried to archive your website and realized that relying on screenshots, open source and manual software, or CMS backups is not going to work.