finra rule 4511

(b) Members shall preserve for a period of at least six years those FINRA books and records for which there is no specified period under the FINRA rules or applicable Exchange Act rules. En particulier, l’archivage dans Microsoft 365 permet aux clients de définir des stratégies de rétention de messagerie globales ou granulaires pour stocker des données pendant une période définie et au-delà dans un format non réinscriptible et non effaçable. Elle a été autorisée par le Congrès américain sur la protection des investisseurs de l’Amérique en s’assurant que l’industrie des concessionnaires est équitable et honnêtement.It was authorized by the US Congress “to protect America’s investors by making sure that the broker-dealer industry operates fairly and honestly.”, Dans 2011, la Commission américaine sur la sécurité et Exchange (s) a approuvé l’adoption par FINRA des règles SEC régissant la rétention des livres et des enregistrements sur les supports de stockage électroniques.In 2011, the US Security and Exchange Commission (SEC) approved the FINRA adoption of SEC rules governing the retention of books and records on electronic storage media. For updates and guidance related to COVID-19 / Coronavirus, click here. Effectively, if the books and records pertain to an account, the retention period is mandated to be six years following account closure. La modification, l’écrasement ou la suppression de chaque objet BLOB (enregistrement) est protégée jusqu’à ce que la période de rétention requise ait expiré et que toutes les suspensions juridiques associées aient été publiées. Among them is Rule 4511 of the Financial Industry Regulatory Authority (FINRA) that stipulates stringent requirements for regulated entities that elect to retain books and records on electronic storage media. To report on abuse or fraud in the industry, FinPro (The Financial Professional Gateway), Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), Guidance on Social Networking Websites and Business Communications, FINRA’s NAC Revises the Sanction Guidelines, SEC Approves New Rules Governing Communications With the Public, SEC Approves Consolidated FINRA Rules Governing Books and Records.

Il s’agit de la règle 4511 de l’autorité réglementaire du secteur financier (FINRA) qui stipule des exigences rigoureuses pour les entités réglementées qui choisissent de conserver des livres et des enregistrements sur des supports de stockage électroniques.

In particular, archiving in Microsoft 365 enables customers to set global or granular messaging retention policies to store data for a defined period and beyond in a non-rewriteable, non-erasable format. Les ̩tablissements financiers peuvent d̩sormais cr̩er leurs propres applications en tirant parti de ces fonctionnalit̩s tout en restant conformes. Financial institutions can now build their own applications taking advantage of these features while remaining compliant. Dans le cas contraire, la p̩riode de r̩tention est de six ans apr̬s la cr̩ation de ces livres et enregistrements. The rule Рwhich is based on the general recordkeeping requirements of NASD Rule 3110 and NYSE 440 clarifies that firms are required to: Contact FINRA at 301-590-6500. The Financial Industry Regulatory Authority (FINRA) is the largest independent body regulating securities firms with oversight of more than 4,500 brokerage firms in the United States. Each Blob (record) is protected from being modified, overwritten, or deleted until the required retention period has expired and any associated legal holds have been released.
FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028.


Les fournisseurs de logiciels et les partenaires avec des charges de travail sensibles peuvent désormais compter sur le stockage d’objets BLOB Azure inaltérables en tant que solution Cloud de magasin unique pour les enregistrements de rétention et de stockage non modifiable. Financial services customers, representing one of the most heavily regulated industries in the world, are subject to complex provisions like the retention of financial transactions and related communication in a non-erasable and non-modifiable state.

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