FREE PREVIEW
|
LOGIN OR SUBSCRIBE NOW TO READ THIS ARTICLE
|
FINRA enforcement emphasizes need to protect eRecords
|
Regulatory Updates
Friday, December 23, 2016
|
|
Last week, the Financial Industry Regulatory Authority announced that it fined 12 firms a total of $14.4 million for significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents alteration. The enforcement action highlights the need to maintain and protect electronic records properly. Read on for more details.
TO READ THE FULL STORY
|
|
Already a subscriber?
Problems logging in?
Please call 330-659-6101 x 805 or email us for assistance.
|
|
Today's other top stories