Email Archiving & Compliance Blog:

finra record retention rules


November 11, 2011  2:19 PM

FINRA Email Archiving Requirements

Posted by: Naplesguy
broker dealer compliance, email archiving requirements, finra record retention rules

Email archiving is a common requirement for many different types of industries. When it comes to broker dealer compliance, FINRA is the regulator for this particular financial industry. And the email archiving requirements that FINRA has in place...


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