Data Compliance

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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What Does SEC Rule 17-4 Mean for Small FINRA Firms?

Although SEC rule 17a-4 is the de facto regulation used by FINRA, it has special significance for small firms such...


How Can FINRA Firms Make the Cloud 17a-4 Compliant?

The cloud surely is a viable option for small FINRA firms to store data. Broker-Dealers for example can effectively use...


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...


What Does FINRA Expect from Broker-Dealers During an Audit?

There is essentially three things FINRA will demand during an audit: One: Reproduce the communications made from registered reps to...

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How Long do FINRA Firms Need to retain their books and records?

SEC rule 17a-4 directs FINRA firms to maintain and keep books and records for 3 yrs., certain records for longer....


What is the books and records electronic archiving rule?

The FINRA books and records rule or SEC 17a-4 outlines three main responsibilities for FINRA firms: One: It outlines which...


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...


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...


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...

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