WebApr 11, 2024 · To summarize, in order for a FINRA compliant broker-dealer firm to keep their data compliance spending as low as possible while complying with rule 17a-4, they should follow these three simple steps: 1) Move all company data to a fully integrated cloud platform like Microsoft 365 WebFINRA Mar 2024 - Present1 year 2 months Rockville, Maryland, United States • Developed web application using Asp.Net MVC and C# • Gathered requirements and set up intial environment for sunrise...
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WebFeb 15, 2024 · In this Report, Cohasset Associates, Inc. (“Cohasset”) assesses the capabilities of Microsoft Azure Storage relative to the recording, storage, and retention requirements for electronic records specified in Securities and Exchange Commission (SEC) in 17 CFR § 240.17a-4 (f), which regulates exchange members, brokers or dealers. … WebApr 10, 2024 · U.S. Treasuries (“T-Bill“) investing services on the Public Platform are offered by Jiko Securities, Inc. (“JSI”), a registered broker-dealer and member of FINRA & SIPC. See JSI’s FINRA BrokerCheck and Form CRS for further information. When you enable T-Bill investing on the Public platform, you open a separate brokerage account with ... praying with my feet heschel
Microsoft Azure and Office 365 Are Now FINRA and SEC …
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