Interpreting | 2015.05.28
17a-4’s Industry Insights on SEC Rule 17a-4 and Archiving Workflow Review
17a-4 llc is a leading compliance firm managing SEC, FINRA and CFTC regulations for hundreds of financial institutions. As such, provides guidance for rule interpretation and compliance, in this case, regarding workflow review.
(PRWeb May 28, 2015)
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