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Outsource Your Archiving to the Experts...
Our progressive archiving and compliance solutions meet the stringent recordkeeping requirements of the financial services industry, including:
- SEC Rule 240 (17a-3, 17a-4), SEC Rule 204-2
(Investment Advisors Act of 1940)
- FINRA Rule 3010, FINRA Rule 3110, FINRA Notice to Members 98-11, FINRA Notice to Members 03-33
- Employs electronic storage media on WORM Media. Can provide representation that the storage medium meeting specified conditions of rule 17a-4.
- Electronic records stored in non-rewriteable, non-erasable format.
- All back-ups are stored separately from their originals.
- All electronic records arranged to permit the immediate retrieval of any record that may be requested.
- Printed version of messages and logs may be printed by Broker/Dealer or provided at www.MarketingLibrary.net
- Business Continuity Plan: Printed procedures for maintenance and preservation of, and access to, records – so as to reasonably safeguard records from loss, alteration, or destruction.
- Retention Period: Each Broker/Dealer may determine the period of their record retention. All records (logs and messages) may be retained for 1 year, 3 years, 5 years, 6 years or indefinitely.
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