Website & Social Media Archiving to Comply with FINRA Books & Records Rules

Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). The goal of these regulations is to protect the industry and its customers—and both bodies are willing to impose hefty fines if they believe a firm has stepped out of line….
By: Pagefreezer
Previous Story

Another Step Nearer for CARF in the UK

Next Story

This Michigan Supreme Court Case Has the Potential to Guide Drone and Air Rights Law for the Nation