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Preparing for a FINRA Audit: Strategies for your ESM and D3P Success
Every brokerage firm and broker that does business with the U.S. public must be licensed and registered by the Financial Industry Regulatory Authority, or FINRA.
Designated third party provider compliance
The securities and exchange commission (SEC) requires broker-dealers to adhere to numerous regulations, including SEC Rule 17a-4(f)(3)(vii), which details stringent requirements on how electronic data is stored.
