Cookie policy: This site uses cookies (small files stored on your computer) to simplify and improve your experience of this website. Cookies are small text files stored on the device you are using to access this website. For more information on how we use and manage cookies please take a look at our privacy and cookie policies. Some parts of the site may not work properly if you choose not to accept cookies.

Home > Smarsh > 4 Considerations to Meet FINRA & SEC Regulations

4 Considerations to Meet FINRA & SEC Regulations

White Paper Published By: Smarsh
Published:  Dec 07, 2016
Type:  White Paper
Length:  4 pages

To meet the requirements of FINRA & SEC, you must first understand what they require of investment firms and organizations. Better yet, you must understand what is classified as a violation of those rules, then put practices in play that mitigate the risk and position you as an active advocate for complianceó not a violator or passive enabler for non-compliant activity.

Tags :