Broker-dealer Data Archiving

Understanding the Difference between Data Backup and Data Archiving – Download Guide

Understanding the Difference between Data Backup and Data Archiving – Download Guide

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How do Small FINRA Firms Outsource 17a-4 Electronic Records Archive?

Since FINRA realizes small FINRA firms don’t have the IT budgets to perform the archiving of electronic records themselves, they...

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What is the FINRA Electronic Records Request?

During an audit, FINRA will surely perform an electronic records request. This request is a sample data set from the...

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What electronic records need to be retain to achieve SEC rule 17a-4?

The electronic records retention requirements of SEC rule 17a-4 or the SEC Books and Records rule, defines the following types...

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What’s the Difference Between Data Backup and Data Archiving?

When it comes to satisfying today’s data compliance regulation such as SEC 17a-4, the big question FINRA firms have to...

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What are the Key Features of an Effective 17a-4 Data Backup and Archiving Solution?

A proper data backup and archiving solution to meet SEC rule 17a-4 needs the following features: Comprehensive: Rule 17a-4 stipulates...