Schedule a Demo

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.

All Posts

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

4 Reasons it Pays to Comply with FINRA & SEC Recordkeeping Laws

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 complianc

Investment Advisors - Fulfilling Form ADV Social Media Disclosure Requirements

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 fraudulent activi

Q&A With Jason Wenk - CEO, Retirement Wealth Advisors

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 with smarter

Why Social Media Archiving is a Must Have for Financial Services

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 U.S, that nu

    27 Social Media Investigation Tools for OSINT & SOCMINT Investigations

    Social media investigations can unlock a wealth of evidence for legal, fraud, and criminal cases. But if you're not using the right social media investigation tools, your investigation is likely to be frustrating and inefficient—not to mention risky.

    Can Social Media Be Used in Court? 23 Court Cases That Prove Social Media Evidence Can Make or Break a Case

    Can social media evidence be used in court? In short, yes. But it's not always so straightforward.