If you haven't noticed, blockchain, cryptocurrency, and Ethereum have infiltrated the tech and investment industries. But the new technology has already started to infiltrate other sectors, adding....

Last April we talked about how to comply with Rule 17a-4(f) under the Securities Exchange Act (SEA). But because many firms still aren't correctly fulfilling the regulation's requirements, we figured....

At its core, the Freedom of Information Act (FOIA) gives individuals a legally enforceable right to access government information. Last year, there were more than 788,769 FOIA requests, and agencies....

In January, the Financial Industry Regulatory Authority (FINRA) released its 2017 Annual Regulatory and Examination Priorities Letter to inform firms about weaknesses in regulatory programs and ways....

Records Management, Cloud-Based Archiving

While no one can agree on the timing, everyone agrees that cloud deployment is coming and it's coming regardless of industry. However, there are different....