SEC Rule 17a-4

Rule 17a-4 is the de facto regulation used by all FINRA firms, large and small. However, it has special significance for small firms, read more:

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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...

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Is Worm Disk the Only Way to Retain Data for SEC Rule 17a-4?

Broker-Dealers are no longer restricted to using only worm disk to store electronic records to satisfy rule 17a-4.  This used...

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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....

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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...

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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 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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What’s the difference Between Static Data and Dynamic Data?

To make sure data is properly protected for full compliance, it is important to understand the difference between the two...

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Whats an SEC 17a-4 Distributed Paperless Office?

A distributed paperless office is converting all documents to electronic, uploading them to the cloud, sharing them among clients, employees...

Six Features of an SEC 17a-4 Consolidated D3P

Six Features of an SEC 17a-4 Consolidated D3P

How to Choose Your FINRA (D3P) Small FINRA firms can’t spend thousands of dollars a year trying to keep compliant...