Tools to Conquer Compliance Program Challenges
Compliance responsibilities grow with every passing year. New regulatory mandates, [...]
6
11, 2020
27
12, 2019
Electronic Storage Requirements: Is Your Firm Ready to Go Paperless?
Is your small broker-dealer drowning in boxes and boxes of [...]
22
10, 2018
Guidance on Third-Party Recordkeeping Services and SEA Rule 17a-4
As you may remember from our earlier post on the [...]
19
09, 2016
SEC Rule 17a-4: Electronic Storage Media
Under certain conditions, a broker-dealer may maintain and preserve records [...]