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Security Standards White Papers

Compliance: SEC 17a-4/NASD 3010/3110

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security standards

Overview In the wake of the 1928 stock market crash and the uncovering of widespread securities fraud, the U.S. Congress enacted the Securities Exchange Act of 1934. The Act seeks to protect investors from fraudulent or misleading claims in the securities industry and requires extensive record keeping, reviewing, and auditing by independent auditors, and administration of financial transaction records. NASD 3010/3110 are part of comprehensive regulations enacted and enforced by the National Association of Securities Dealers on behalf of more than 5,000 registered financial institutions and investment funds. All aspects of the SEC and NASD regulations are effective today.

Further White Paper Details
Publisher	Biscom	File Format	PDF
Date Published	April 2007
Format	White Papers
Topics	Security Standards, Data Recovery - Security, SEC Rule 17A-4

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Telecoms
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voip,
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vonage

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