Category Archives: Compliance

Navigating FINRA 17a-4 Compliance: KeyMSP’s Tailored Solutions for Financial Firms

Ajay Suresh from New York, NY, USA - Financial Industry Regulatory Authority (FINRA)

Photo by Ajay Suresh, licensed under CC BY 2.0   Understanding SEC and FINRA 17a-4: What You Need to Know Overview of SEC Rule 17a-4 The SEC Rule 17a-4 outlines strict requirements for the retention, indexing, and accessibility of business records for broker-dealers and financial firms. The rule’s amendment in 2022 accommodates modern electronic technologies, […]