Description: Compliance Vault-Website Archiving for FINRA/SEC Rule 17a-4 Regulatory Compliance
compliance (2600) sec (235) worm (140) archiving (111) finra (29) immutable (15) securities and exchange commission (5) books and records (5) financial industry regulatory authority (3) sec 17a-4 (3)
Firms operating under the Investment Advisors Act of 1940 that use their company Website for sales and marketing purposes are required under the Books and Records section 204-2 to completely archive their Websites for a duration of up to six years.
Regulations further require that these archives be immutable; they cannot be modifiable or subject to deletion once written.
With millions of Internet users flocking to social media sites like Facebook and Twitter, financial services firms need to leverage this new medium to reach existing clients and to target prospects.