FTF News

  • Sign-Up for FTF Email Alerts
  • Login
FTF NEWS
Subscribe Now
  • Home
  • News
  • Events
  • Awards
  • Research
  • FTF SERVICES
  • Podcast
  • Bull Run Blog

SEC Ends WORM-Only Storage Requirement

October 26, 2022 by Eugene Grygo

SEC Ends WORM-Only Storage Requirement

At long last, the SEC is ushering in a new era of electronic recordkeeping and many across the land are happy about it. In particular, the SEC has voted to adopt amendments to its rules regarding “electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and… Read More >>

Filed Under: FTF Bull Run Blog, Derivatives Operations, Securities Operations, Data Management, Industry News, Operational Risk, Ops Automation, Risk Management, Artificial Intelligence, Digital Transformation, FinTech Trends, Integration, Standards, Opinion, Minding the Gap, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Regulatory Compliance, Regulatory Reporting, Economic Sanctions, Industry News Tagged With: automation, back office, collateral optimization, compliance, operations, SEC, Securities Operations, Standards, wall street, WORM, WORM-compliant, write once

FINRA Cracks Down on Deutsche Bank Securities, Scottrade

November 24, 2015 by Eugene Grygo

While alleged acts of fraud by Wall Street firms have gotten the spotlight this year, financial services regulator, the Financial Industry Regulatory Authority (FINRA), is making the point with some firms that they need to maintain high standards for regulatory reporting and for keeping their books and records as specified by industry watchdogs. Most recently,… Read More >>

Filed Under: Securities Operations, Industry News, General Interest, Governance, AML/Fraud/Financial Crime, Regulation & Compliance, Industry News Tagged With: 8of9, data scientists, Deutsche Bank Securities, Financial Industry Regulatory Authority, FINRA, fraud, Mary Kopczynski, reporting compliance, Scottrade, Securities and Exchange Commission (SEC), securities-related electronic records, supervisory failures, wall street, WORM-compliant

  • Home
  • FTF SERVICES
  • News
  • FTF Bull Run Blog
  • Contact
  • Events
  • Privacy
  • About
  • FTF Research Institute
  • Awards
  • Terms
  • Buyer’s Guide
  • Reprints

Follow Us

Copyright © FTF News 2019 Financial Technologies Forum LLC

Join FTF
Premier Today!

Already a Member? Click here to Login

Unlimited FTFNews.com article access
FTF Special Reports
Digital issues of FTF Focus Magazine
Video Interviews
Podcasts
Weekly News Alerts
Discount on FTF Conferences and Events
Discount on FTF Training Seminars
Print Issues of FTF Focus Magazine
Annual delivery of printed FTF Buyer's Guide
Online Trial
Try FTF Premier
Online
$1
For 4 Weeks
 
 
 
 
FTF Premier FULL
FTFNEWS.COM
MEMBERSHIP
$10$120
PER MONTHPER YEAR
FTF ON DEMAND
TRY FTF PREMIER ONE
ARTICLE AT A TIME
$1.99
AND UP
$1.99 PER ARTICLE
$9.99 PER REPORT
$9.99 PER ISSUE
 
 
 
 
 
 
 

Join FTF
Premier Today!

Already a Member? Click here to Login

Unlimited FTFNews.com article access
FTF Special Reports
Digital issues of FTF Focus Magazine
Video Interviews
Podcasts
Weekly News Alerts
Discount on FTF Conferences and Events
Discount on FTF Training Seminars
Print Issues of FTF Focus Magazine
Annual delivery of printed FTF Buyer's Guide
Online Trial
Try FTF Premier
Online
$1
For 4 Weeks
 
 
 
 
FTF Premier FULL
FTFNEWS.COM
MEMBERSHIP
$10$120
PER MONTHPER YEAR
FTF ON DEMAND
TRY FTF PREMIER ONE
ARTICLE AT A TIME
$1.99
AND UP
$1.99 PER ARTICLE
$9.99 PER REPORT
$9.99 PER ISSUE
 
 
 
 
 
 
 
  • Home
  • News
  • Events
  • Awards
  • FTF Research Institute
  • FTF SERVICES
  • Bull Run Blog
  • Email Alerts
  • Log In
  • My Account
  • Log Out