FINRA and SEC recordkeeping rules impose strict requirements on how financial entities must archive electronic communications — and non-compliance can lead to serious penalties. In this video, we break down what IT administrators and MSPs need to know about FINRA Rule 4511 and SEC Rule 17a-4(f), covering communication types, technical standards like WORM storage, retention periods, supervision requirements, and compliance considerations for Microsoft 365 and Google Workspace.
Read the full blog on Compliance-Focused Guide to Meeting FINRA and SEC Electronic Communication Recordkeeping Requirements
