![]() ![]() ![]() Backups with immutable data locks help you meet regulatory requirements that require WORM storage, and add another layer of protection against object modifications and deletion. This “locks” the backed up data and prevents it from being modified, corrupted, or deleted. Immutable backups have data stored using a write-once-read-many (WORM) model. Immutable Data Backup For FINRA-SEC 17a-4 Compliance Commodity Futures Trading Commission (CFTC) Rule 17 CFR 1.31(c)-(d) refers to the form and manner in which regulatory records must be retained.Financial Industry Regulatory Authority (FINRA) Rule 4511(c) requires that all records comply with the format and media requirements of SEC Rule 17a-4(f).They stipulate recordkeeping requirements, including retention periods and type of storage technology. Securities and Exchange Commission (SEC) Rule 17 CFR 240.17a4(f) regulates exchange members, brokers, or dealers.Here are the three key rules of the FINRA-SEC Regulations that we will touch upon: In this blog, we discuss the compliance requirements for backup solutions, particularly FINRA SEC 17a-4. Compliance with regulations has to also extend to third-party software and applications that the financial organization employs. Prominent amongst them is the Financial Industry Regulatory Authority ( FINRA ) compliance. The financial services sector has to comply with a whole different level of regulations. ![]()
0 Comments
Leave a Reply. |
AuthorWrite something about yourself. No need to be fancy, just an overview. ArchivesCategories |