An independent assessment firm validated that Azure and Office 365 can help financial firms meet the records retention and immutable storage requirements of SEC Rule 17a-4, SEC Rule 18a-6, FINRA 4511, & CFTC 1.31.
An independent assessment firm validated that Azure and Office 365 can help financial firms meet the records retention and immutable storage requirements of SEC Rule 17a-4, SEC Rule 18a-6, FINRA 4511, & CFTC 1.31.
SEC Rule 17a-4 & 17a-3 The Securities Exchange Act (SEA) Rule 17a-3 specifies the minimum requirements for broker-dealer records, how long records and documents relating to a broker-dealer’s business, and the format they may be kept. SEC Rule 17a-4 is part of the US Securities ...
“The financial services firms we work with entrust us with their most valuable assets—their highly confidential records and information,” said Eric Barroca, CEO of Nuxeo. “As a CSP that has achieved Amazon S3 Object Lock validation with SEC Rule 17a-4(f), ...
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f) 来自 thefederalregister.com 喜欢 0 阅读量: 8 作者: MH Mcfarland ...
-, 视频播放量 321、弹幕量 0、点赞数 16、投硬币枚数 9、收藏人数 9、转发人数 2, 视频作者 岩土届的数学砖家, 作者简介 ,相关视频:崔Andy:行列式 余子式和代数余子式,沉浸式批卷子,崔Andy-考研数学-行列式练习题(end),崔Andy:行列式 逆序 逆序数 行列式计算方法(
Office 365 - Cohasset Assessment - SEC Rules 17a-4 & 18a-6, FINRA 4511, CFTC 1.31 (2024)Designated Executive Officer or Third-Party UndertakingSEC Rules 17 CFR § 240.17a 4(f)(3)(v) and 17 CFR § 240.18a 6(e)(3)(v) require the broker-dealer and SBS Entity, respectively, to ...
Rule 17a-4 has specific requirements pertaining to length, format, quality, availability, accountability, and other aspects of record retention. Knowing whether an archiving solution can support Rule 17a-4 requirements is often a key consideration for SEC-regulated customers in technology adoption...
Rule 17a-4 has specific requirements pertaining to length, format, quality, availability, accountability, and other aspects of record retention. Knowing whether an archiving solution can support Rule 17a-4 requirements is often a key consideration for SEC-regulated customers in technology adoption....
Microsoft Azure Immutable Blob Storage with Policy Lock and Microsoft Office 365 with Preservation Lock can help financial institutions meet the immutable storage requirements of SEC Rule 17a-4(f)(2)(i)(B). The most recent update to the rule, published on November 3, 2022, introduced a new ...