FINRA Proposes Clearing Firms Tighten Customer Recordkeeping
November 9, 2011
The regulator wants carrying and clearing firms to maintain certain customer records electronically in an accessible fashion, in case a firm goes bust.
All SecuritiesTechnologyMonitor.com articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, and conference discounts. Qualified members may also choose to receive our our e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and topics that matter to the effective operation of capital markets.