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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

    The Discord OSINT/SOCMINT Investigation Guide

    Discord is a treasure trove of real-time, contextually rich digital interactions, offering OSINT investigators unprecedented access to diverse community conversations, user networks, andthe various digital file types shared through its interconnected server ecosystem. These insights can be pivotal for open-source intelligence (OSINT) investigations.

    New Spatial Data Logic and Pagefreezer Partnership Modernizing Digital Recordkeeping for Local Government Agencies

    December 11, 2024 (Vancouver) – Spatial Data Logic (SDL) and Pagefreezer have announced a strategic partnership to help government agencies streamline website and social media recordkeeping operations and improve transparency initiatives.