Complying with your industry's record keeping regulations may seem like a given; yet stories of non-compliance continue to circulate in the news. Unaware of the significant harms of failing to meet regulations, many organizations are overlooking...
4 Reasons it Pays to Comply with FINRA & SEC Recordkeeping Laws
by
Sylva on
September
20,
2017
in
FINRA,
FINRA Rule 17-a,
FINRA Rule 4511,
financial services,
SEC,
Compliance,
Social Media,
social media archiving,
website
What’s the deal?
In recent news, the SEC has made amendments to reporting requirements for investment advisors, changing the way in which the SEC evaluates the risk profiles of investment advisors, and helping to reduce the likelihood of...
Q&A With Jason Wenk - CEO, Retirement Wealth Advisors
by
Sylva on
April
07,
2016
in
financial services,
Social Media,
SEC,
digital archiving,
FINRA,
Regulatory Notice 10-6,
FINRA Rule 4511,
social media archiving,
web archiving,
FINRA Rule 17-a,
Compliance,
Regulatory Notice 1139
| We touched base with our financial services client, Jason Wenk, CEO of Retirement Wealth Advisors to find out how PageFreezer has helped his business meet regulations and focus on what they do best - helping clients live more enjoyable lives... |
Why Social Media Archiving is a Must Have for Financial Services
by
Sylva on
December
23,
2015
in
legal,
financial services,
Social Media,
SEC,
FINRA,
Regulatory Notice 10-6,
FINRA Rule 4511,
social media archiving,
FINRA Rule 17-a,
FDA,
Compliance,
Regulatory Notice 1139
Ever since social media first came into our lives with the emergence of platforms like MySpace in the early 2000s, it has shown no signs of slowing down. Today, over 30% of the world’s population utilizes some type of online community. In the...
