Email Archiving & Compliance Blog:

FINRA compliance


June 14, 2010  12:37 PM

Compliance now means more than just email archiving for financial institutions

Posted by: Naplesguy
Email Archiving and Compliance, FINRA compliance, SEC

The landscape for SEC and FINRA compliance has changed. Financial firms have been under the scrutiny of FINRA and the SEC for quite some time. Email archiving was born from the necessity of compliance with laws like the Federal Rules of Civil Procedure, SEC’s


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