The Browser Guru » Compliance http://thebrowserguru.com Thu, 27 Jan 2011 15:23:57 +0000 en hourly 1 http://wordpress.org/?v=3.3.1 FINRA Compliance http://thebrowserguru.com/2010/07/11/finra-compliance/ http://thebrowserguru.com/2010/07/11/finra-compliance/#comments Sun, 11 Jul 2010 17:06:55 +0000 The Browser Guru http://thebrowserguru.com/?p=119 FINRA (Financial Industry Regulatory Authority) was created in July 2007 with the consolidation of the regulation enforcement and arbitration functions of the New York Stock Exchange with the National Association Of Securities Dealers (NASD).

FINRA in conjunction with the Securities and Exchange Commission (SEC) are regulatory agencies for the financial services industry in the United States.

To be compliant with the guidelines, storage, retrieval and surveillance solutions need to be in place. Some of the guidelines include: SEC 17a-3 and 17a-4, NASD 3010 and 3110, NYSE 342, 440 & 442 and SEC RIA 204-2 and 206(4)-7.

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