| Publisher | OmniRIM Solutions | ||
|---|---|---|---|
| Format | 230.0KB PDF | Date added | 01 Feb 2005 |
| Topics | SEC Rule 17A-4 | ||
| Downloads | 340 | ||
This white paper provides a discussion of records management requirements related to brokers-dealers as derived from and as a result of the Securities and Exchange Commission's Rules 17a-3 and 17a-4. It goes on to consider general records management issues as well as the specific records management implications of the SEC Rules themselves. For ease of reference, this white paper includes as an appendix the complete text of the SEC Rules. The final section of this white paper discusses how OminRIM's records management software can assist brokers-dealers with complying with the requirements of the SEC Books and Records Rules thus helping brokers-dealers avoid liability issues in this regard.
Did you find this white paper useful?
21 out of 50 users found this white paper useful
Related white papers
Email Archiving Solution for Ultimate .PST File Management
The enforcement of mailbox limits causes MS Exchange users to create their own local repositories using .PST files. Email archiving solves the problem of "too much information" and .PST files...
E-mail Archiving: Analyzing Return on Investment
This white paper highlights some of today's most pressing e-mail management challenges, including bloated inboxes, redundant data storage, excessive backup activity, and lost productivity. The paper explains how an enterprise...
Achieving Compliance and Strategy Execution Using Microsoft Office Business Scorecard Manager 2005
As they strive to achieve compliance while continuing to strengthen their competitive edge, more and more organizations are turning a keenly interested eye toward Business Performance Management (BPM). But with...
Addressing IT Compliance Challenges with Backup Archiving Technologies
This white paper from Osterman Research explains why backup and archiving should be central to your company's regulatory compliance efforts. It delves into the corporate governance issues that are driving...
Calculating the Value of Regulatory Compliance
In today’s increasingly regulated business environment, e-mail archiving has become a critically important IT function. Unfortunately, merely adding storage resources to your technology infrastructure won’t help you comply with the...
Identity Management: Easing the Cost of Compliance
This Ziff Davis white paper reveals some eye-opening statistics on just how much regulatory compliance is costing today's enterprises. While the cost of complying with the provisions of SOX, HIPAA,...
Realtime Publishers: Understanding how privacy and government regulations affect email compliance
Email compliance is just one instance of the regulatory impact on IT operations. There are a number of privacy and corporate governance regulations that apply to email services, and the...
