Compliance for Small FINRA Firms – Download Guide
Who should read this guide
Data compliance involves people in many areas of a firm: compliance officers need to fully understand it; tech personal have to be involved to design the right technology, even presidents and CEO need to have a hand in it. This guide is created for every one who needs a better understanding of SEC/FINRA data compliance.
How this guide will help you?
This guide gives financial experts an essential beginning to understand data compliance, specifically SEC rule 17a-4 and it long term data archiving and supervisory demands.
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