Making compliance a little easier...
It's no secret that compliance teams are drowning in regulation. The requirements under SEC Rules 17a-3 and 17a-4 are particularly high, with the regulator demanding extensive records of all trades carried out by broker/dealers.
To give you some breathing space, we’ve created a comprehensive cheat sheet on 17a-3 and 17a-4 that quickly and cleanly breaks down these rules. With our cheat sheet, you can spend less time digesting and more time complying.
Grab our Cheat Sheet to find out:
- Who these rules apply to and what they demand
- What you need to keep records of
- How this data needs to be stored to remain compliant
