Description:
This SEC Rule specifies requirements for how members of the National Association of Securities Dealers (NASD) must control customer account information. The rules says : "Each member shall make and preserve books, accounts, records, memoranda, and correspondence in conformity with all applicable laws, rules, regulations, and statements of policy promulgated thereunder and with the Rules of this Association and as prescribed by SEC Rule 17a-3. The record keeping format, medium, and retention period shall comply with SEC Rule 17a-4."
Copyright 2004-2008 The Data Governance Institute, LLC. All Rights Reserved The site is brought to you in partnership with the Business Intelligence Network
Copyright 2004-2008 The Data Governance Institute, LLC. All Rights Reserved The site is brought to you in partnership with the Business Intelligence Network
