SEA Rule 17a-3 Archives - Master Compliance

27 12, 2019

Electronic Storage Requirements: Is Your Firm Ready to Go Paperless?

By admin|2019-12-27T15:56:55-05:00December 27, 2019|Broker-Dealer, FINRA, Rules and Regulations, SEC|

Is your small broker-dealer drowning in boxes and boxes of [...]

22 10, 2018

By admin|2018-10-22T13:12:10-04:00October 22, 2018|Broker-Dealer, FINRA, Rules and Regulations, SEC|

As you may remember from our earlier post on the [...]

19 09, 2016

By admin|2016-09-19T12:19:18-04:00September 19, 2016|Broker-Dealer, Rules and Regulations, SEC|

Under certain conditions, a broker-dealer may maintain and preserve records [...]