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1 How to Pick the Right FINRA-Approved Cloud Storage Solution
https://www.caplinked.com/blog/finra-approved-cloud-storage-requirements/
Finding a FINRA- approved cloud storage solution is relatively easy, but you won't find it on free cloud platforms. Here's what to know.
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2 FINRA Compliant Cloud Storage: How to Pick (Complete Guide)
https://firmroom.com/blog/finra-compliant-cloud-storage
Essentially, any organization handling the financial livelihood of others or involved in the data transfer of sensitive information has to be FINRA compliant.
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3 Why You Need FINRA-Compliant Cloud Storage | eFileCabinet
https://www.efilecabinet.com/is-cloud-storage-finra-compliant/
How to be FINRA Compliant ... For those using a system like Google Drive to maintain files in the Cloud, they are responsible for complying with ...
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4 FINRA Compliant Document Storage & File Sharing - SmartVault
https://www.smartvault.com/compliance/finra/
To meet the FINRA requirements for security, your storage system must have reasonable controls to prevent and detect unauthorized creation of, additions to, ...
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5 FINRA Compliant Document Storage & Management
https://serascript.io/features/compliance/finra/
Understanding FINRA Rules · Enforceable Retention Policies · Data Must Be Readily Viewable and Retrievable · Data Must be Backed Up Off-Site · Data Must be ...
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6 IDrive® assists with SEC/FINRA compliance
https://www.idrive.com/online-backup-sec-finra
The data is available for online restores 24 x 7. All backups are stored with the catalogs (indexes) and accessible to authorized users at all times; The data ...
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7 FINRA Compliant Cloud Storage and Email Archiving
https://www.sharefile.com/industries/financial
We offer secure and customizable file sharing and cloud storage that integrates with the tools financial firms and banks of all sizes use every day. From FINRA ...
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8 Cloud Storage SEC, FINRA Guidelines | Denver Marketing Firm
https://friedmansocialmedia.com/does-cloud-storage-meet-sec-and-finra-security-guidelines/
Cloud Storage and FINRA Security Guidelines? · Reduced costs; · Do you have written policies and procedures in place governing the steps you take in order to ...
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9 What does a Cloud Provider need to be a FINRA D3P?
https://www.advisorvault.org/finra-d3p/
AdvisorVault is the only FINRA D3P to include full 17a-4 compliant archiving and retention for cloud storage, including Office 365, ...
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10 SEC - Compliance | Google Cloud
https://cloud.google.com/security/compliance/sec-us
Cohasset has determined that Google Cloud Storage, when properly configured and used with the Bucket Lock feature, may help users address U.S. record retention ...
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11 FINRA & SEC - Vault America
https://www.vaultamerica.com/compliance/finra/
The Vault America Hybrid Cloud Backup & Recovery, Email & Information Archiving, and eDiscovery services feature built-in access controls, audit logs, ...
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12 SOX and FINRA requirements around Cloud Data - DBSync
https://www.mydbsync.com/sites/default/files/collateral/whitepaper/SOX%20and%20FINRA%20requirements%20around%20Cloud%20Data.pdf
It is evident that Browsers are gaining the. Importance of Operating Systems and Cloud is replacing every Data Storage utilities like Google.
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13 Cloud Archives - SIFMA
https://www.sifma.org/explore-issues/cloud/
SIFMA provided comments to the Financial Industry Regulatory Authority Inc. (FINRA) in response to FINRA's request for public comment on its recent report ...
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14 Gladinet HIPAA FINRA Compliance
https://www.gladinet.com/press/gladinet-hipaa-finra.html
Gladinet Cloud allows an organization to provide simple, secure access to online storage for all their backup, synchronization and collaboration needs. Gladinet ...
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15 Wasabi Helps New Brokerage Firm Meet Strict SEC and ...
https://wasabi.com/resource/case-study/wasabi-helps-new-brokerage-firm-meet-strict-sec-and-finra-records-archiving-rules/
Proof, a new institutional equities broker, uses Wasabi hot cloud storage for affordable, immutable, and compliant archival storage in a multicloud ...
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16 SEC Rule 17a-4(f) - Amazon Web Services (AWS)
https://aws.amazon.com/compliance/secrule17a-4f/
SEC and FINRA rules also set out requirements that BDs must meet if they store these records on “electronic storage media” (ESM) such as AWS Storage ...
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17 Financial Industry Regulatory Authority (FINRA) Rule 4511(c ...
https://learn.microsoft.com/en-us/compliance/regulatory/offering-finra-4511
Software providers and partners with sensitive workloads can now rely on Azure Immutable Blob Storage as a one-stop shop cloud solution for ...
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18 Guidelines for FINRA SEC 17a-4 Compliance for Broker-Dealers
https://www.intradyn.com/guidelines-for-finra-sec-17a-4-email-compliance/
Find out the requirements for FINRA SEC Rule 17a-4 compliance in this blog post ... However, now that cloud storage has become the most popular way to store ...
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19 SEC/FINRA compliance - IBackup
https://www.ibackup.com/online-backup-compliance/online-backup-sec.htm
Data is available for online restore 24 x 7. All backups are stored with the catalogs (indexes) and accessible to authorized users at all times. Data resides on ...
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20 The benefits of being a cloud trailblazer - McKinsey
https://www.mckinsey.com/capabilities/mckinsey-digital/our-insights/the-benefits-of-being-a-cloud-trailblazer
To meet an SEC demand for greater transparency, FINRA chose the road less traveled—public cloud—and reached its goals and more at ...
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21 Cloud Storage Helps FINRA Process 'Unprecedented' Amount ...
https://www.thinkadvisor.com/2018/07/13/cloud-storage-helps-finra-process-unprecedented-am/
Robert Cook, FINRA's president and CEO, said in announcing the market activity that “cloud storage and processing have made it possible for ...
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22 Wasabi Helps New Brokerage Firm Meet Strict SEC and ...
https://cdn.brandfolder.io/BFD8NB05/as/xprbjjgnq9wrzq8xjpp86v/Proof_Trading_Case_Study.pdf
SEC and FINRA Records Archiving Rules. Overview. Proof, a new institutional equities broker, uses Wasabi hot cloud storage for affordable, immutable, ...
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23 What is FINRA WORM Compliance? - Mimecast
https://www.mimecast.com/content/finra-worm-compliance/
Regulations established by FINRA require that data is properly retained, encrypted and immutably stored on Write Once Read Many (WORM) media, that the data is ...
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24 FINRA, HIPAA GDPR and NIST 800-171 Standards - FileCloud
https://www.filecloud.com/filecloud-compliance-standards-finra-hipaa/
FileCloud is a hyper-secure cloud storage and file sharing system with tools in place to help admins and compliance officers achieve compliance and keep it.
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25 FINRA Report Timely Amid Diverse Cloud-Based Options for ...
https://www.globalrelay.com/finra-best-practice-advice-timely-amid-diverse-cloud-based-options-for-advisors/
As pioneers of the cloud when we first offered our market-first cloud-hosted archiving and supervisory solutions to FINRA regulated broker- ...
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26 SEC/FINRA compliance - HubStor
https://www.hubstor.net/solutions/compliance/sec-finra/
HubStor uniquely converges data protection, archive, cloud storage, and content indexing as a simple and reliable software service running in any major cloud ...
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27 Spotlight on FINRA's latest report on cloud computing in the ...
https://www.mynewsdesk.com/nccgroup/news/spotlight-on-finras-latest-report-on-cloud-computing-in-the-us-securities-industry-437055
In October 2021, the Financial Industry Regulatory Authority (FINRA) issued a new report on Cloud Computing in the Securities Industry, ...
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28 Microsoft Azure and Office 365 Are Now FINRA and SEC ...
https://www.kraftkennedy.com/microsoft-azure-and-office-365-are-now-finra-and-sec-complaint/
The duration that those records must be held for retention should be somewhere between three to six years and that the storage system being used ...
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29 Wall St watchdog moves to cloud, big data, to boost capabilities
https://www.reuters.com/article/finra-technology-idCNL2N0P105020140620
By moving to the cloud, FINRA will gain increased processing capacity and more space to store data, while reducing costs because the service ...
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30 Regulatory Compliance Control for Google Workspace
https://www.aodocs.com/document-management-system/financial-services/finra
The Compliance Archive module relies on Google Cloud Storage to comply with SEC Rule 17a-4(f), including non-rewritable, non-erasable record format, accurate ...
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31 What is FINRA Compliance? | Box, Inc.
https://blog.box.com/what-is-finra-compliance
Destroying or falsifying data is a serious violation of the rules. If you store data using electronic storage media (ESM), such as a cloud-based ...
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32 FINRA: End-to-end encryption leads to security in securities
https://tresorit.com/blog/end-to-end-encryption-leads-to-security-in-securities/
Tresorit offers FINRA-compliant cloud storage solutions ... Cybersecurity is a fundamental consideration for any company – especially as remote ...
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33 Banks Tiptoe Toward Their Cloud-Based Future
https://www.nytimes.com/2022/01/03/business/wall-street-cloud-computing.html
Mr. Randich estimated that without the cloud, FINRA would have had to bear at least $100 million in expenses to track market movements using its ...
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34 United States | Cloud Compliance Center
https://resourcehub.bakermckenzie.com/en/resources/cloud-compliance-center/na/united-states
Rather, the record-keeping rules envisage the use of electronic storage providers. Regulatory guidance issued by the Securities and Exchange Commission ("SEC") ...
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35 Is Confluence compliant with FINRA WORM?
https://community.atlassian.com/t5/Team-managed-projects-questions/Is-Confluence-compliant-with-FINRA-WORM/qaq-p/2112458
Utilizing cloud technology to store WORM data frees up physical space. It enables businesses to scale their storage capacity (rather than ...
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36 Immutable Data Lock Backup For FINRA-SEC Compliance
https://support.cloudally.com/hc/en-us/articles/360017262300-Immutable-Data-Lock-Backup-For-FINRA-SEC-Compliance
CloudAlly has provided secure (and unlimited) Amazon S3 storage for daily backups since it pioneered SaaS backup almost a decade ago. Our ...
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37 AdvisorVault Includes Six Features to Make the Cloud 17a-4 ...
https://www.newswire.com/news/six-features-a-d3p-needs-to-make-the-cloud-17a-4-compliant-21303211
FINRA now allows member firms to use the cloud to store electronic records and emails, however cloud providers will not act as your ...
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38 Cohasset Associates Report - MinIO
https://min.io/cohasset
MinIO Object Storage: SEC 17a-4(f), FINRA 4511(c) and CFTC 1.31(c)-(d) ... high performance object storage system that is designed for private cloud ...
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39 FINRA Protects American Investors With Splunk Cloud and AWS
https://www.splunk.com/pdfs/customer-success-stories/finra-case-study.pdf
Today, Splunk ingests logs from 170 different applications and AWS Services, including Amazon. Simple Storage Service (S3), Amazon CloudWatch, AWS Config and ...
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40 FINRA, SOX, FIPS – Financial Industry & Data Protection
https://www.boxcryptor.com/en/blog/post/finra-sox-fips/
IT managers often mistakenly assume that FINRA-compliant use of cloud storage is not possible. But in addition to specially certified ...
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41 The Impact of Cloud Computing on the Securities Industry
https://www.newyorksecuritieslawyersblog.com/the-impact-of-cloud-computing-on-the-securities-industry/
It is important to have Malecki Law's FINRA Regulatory Lawyers in New York assist in ensuring your firm's storage systems are sufficient. As a ...
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42 From burst to bust: What happens when cloud runs dry?
https://www.waterstechnology.com/emerging-technologies/7885696/from-burst-to-bust-what-happens-when-cloud-runs-dry
Finra was an early adopter of cloud for its compute and storage requirements. In 2014, it began moving its market surveillance functions and Cat ...
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43 FINRA Compliant Document Management - NetDocuments
https://www.netdocuments.com/blog/finra-compliant-document-management
But what does FINRA compliance actually look like when it comes to recordkeeping? Is your cloud storage FINRA compliant? And how can you ...
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44 Fulfilling FINRA Compliance With Bocada
https://www.bocada.com/wp-content/uploads/2019/03/FINRA-Compliance-with-Bocada.pdf
independent oversight and reporting on backup activities across complex, hybrid-cloud environments, giving organizations a key tool to satisfy FINRA rules ...
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45 Compliance/offering-FINRA-4511.md at public - GitHub
https://github.com/MicrosoftDocs/Compliance/blob/public/compliance/regulatory/offering-FINRA-4511.md
An independent assessment firm validated that Azure and Office 365 can help financial firms meet FINRA Rule 4511 records retention and immutable storage ...
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46 FINRA Compliance For Financial Firms - CloudCodes
https://www.cloudcodes.com/blog/financial-firms-finra-compliance.html
Data saved in the cloud storage makes up for the maximum of such Data Loss Prevention (DLP) violations, which is the direct result of unplanned ...
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47 SynaMan FINRA Compliance - Synametrics Technologies
https://web.synametrics.com/synaman-finra-compliance.htm
SynaMan has the capacity to immediately download any files stored on any designated media. Administrators can also grant regulatory ...
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48 IBM Cloud Object Storage: SEC 17a-4(f), FINRA 4511(c) and ...
https://www.ibm.com/downloads/cas/JBDNP0KV
IBM Cloud Object Storage: SEC 17a-4(f), FINRA 4511(c) and CFTC 1.31(c)-(d) Compliance Assessment. Table of Contents • 2. Table of Contents. Abstract .
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49 Finding a DAM Compliant with FINRA 4511 & SEC 17a-4 ...
https://www.orangelogic.com/blog/how-to-find-a-digital-asset-management-that-complies-with-finra-4511-and-sec-17a-4-regulations
Cloud storage provides the most secure and efficient means of storing data and records. It does, however, come with its own set of problems ...
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50 Shaping the Cloud - How We Transformed FINRA With DevOps
https://videos.itrevolution.com/watch/504281691/
Given its massive amount of data processing needs and 30+ petabytes of data storage, it was necessary for FINRA to rely on cloud computing and services to ...
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51 Herd-MDL : Big Data : Open Source - Technology
https://finraos.github.io/herd-mdl/docs.html
All this data is stored in cost-efficient, highly elastic cloud storage and is ... Teams at FINRA have integrated custom data intake apps, ETL frameworks, ...
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52 Laserfiche Vault
https://info.laserfiche.com/laserfiche-vault-for-broker-dealers
Support FINRA Audit Compliance · Records Retention. Define record retention policies within Laserfiche Cloud, and automatically track which stage each record is ...
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53 AdvisorVault's 17a-4 Compliant WorkSpace Chosen by
https://www.globenewswire.com/en/news-release/2021/10/05/2308765/0/en/AdvisorVault-s-17a-4-Compliant-WorkSpace-Chosen-by-Allegiance-Advisors.html
Now Small FINRA firms have a sure way to make Office 365 17a-4 Compliant. ... storage and communication was now in the cloud," Roger added.
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54 Financial Services Data Storage and Protection - Jungle Disk
https://www.jungledisk.com/industries/financial-services/
Record Preservation Compliance & Encrypted Off-Site Backup · Backup Vault Technology · Easily Secure Active Client Files · Encrypted and Offsite · In The Cloud.
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55 FINRA questions cloud computing regulatory implications
https://www.turningcloud.com/blog/finra-questions-cloud-computing-regulatory-implications/
Recently, FINRA's office of financial innovation issued a report and requested comments on the regulatory implications of cloud computing.
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56 How FINRA benefits from a cloud data lake - O'Reilly
https://www.oreilly.com/content/how-finra-benefits-from-a-cloud-data-lake/
FINRA's entire Market Regulation application portfolio has been running in the cloud using the cloud data lake for more than a year. We have ...
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57 finra compliance - Barracuda MSP
http://barracudamsp.com/resources/pdf/whitepapers/WP_FINRA_Compliance_FINAL.pdf
FINRA Compliance for Solution Providers with the Intronis ECHOplatform 10 ... Remote backup software (online or cloud) to replicate and store the records ...
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58 FINRA Report Outlines Growing Adoption of Cloud Computing ...
https://cybersecurity-law-report.staging.services.acuris.com/18390586/finra-report-outlines-growing-adoption-of-cloud-computing-by-securities-industry-and-associated-regulatory-concerns.thtml
FINRA Report Outlines Growing Adoption of Cloud Computing by Securities Industry and Associated Regulatory Concerns ... The market for cloud computing is expected ...
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59 Understanding FINRA/SEC Rule 17a-4(f) and WORM Storage ...
https://blog.pagefreezer.com/finra-sec-rule-17a4-worm-storage-requirements
This means that content can quickly and easily be searched through the Pagefreezer dashboard. The data files in cloud storage and on WORM tape ...
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60 Does Spanning Backup meet FINRA/SEC 17a-4 requirements ...
https://support.spanning.com/hc/en-us/articles/360033334932-Does-Spanning-Backup-meet-FINRA-SEC-17a-4-requirements-for-email-archiving-
Those regulations require real-time archiving of client communications and the storage of those communications on permanent (WORM) storage devices, and Spanning ...
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61 Complete Protection for Critical Financial Data | KeepItSafe (US)
https://www.keepitsafe.com/regulatory-compliance/financial/
Secure & Compliant Cloud Backup for Finance · We'll keep your data safe from everything - including federal regulations. · What FINRA Requires of Your Firm · How ...
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62 Implementing storage: Compliance concerns for stateful ...
https://www.redhat.com/en/blog/implementing-storage-compliance-concerns-stateful-financial-services-applications
More specifically, FINRA is classified as a “self-regulatory ... and/or through cloud storage depending on where OpenShift is installed.
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63 FINRA Requests Comment on Regulatory ... - Lexology
https://www.lexology.com/library/detail.aspx?g=8c16ebcd-5c39-4eec-9d3c-cd9d0472a4b1
Targeted, incremental and iterative rollouts. Firms tended to launch their migration to the cloud in discrete steps, and many firms started with ...
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64 Privacy & Cybersecurity Update | Insights
https://www.skadden.com/insights/publications/2021/08/privacy-cybersecurity-update
FINRA issued a report titled “Cloud Computing in the Securities Industry,” in which it surveys the proliferation of cloud computing technology ...
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65 Endpoint Security, Cloud Backup & Disaster Recovery
https://www.smartbundle.ai/protection
Our public cloud storage is backed by one of the few Amazon S3-compatible cloud storage services that's both HIPAA and FINRA compliant.
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66 Financial Industry Regulatory Authority (FINRA) - Cribl
https://cribl.io/resources/case-study-finra/
FINRA used Cribl Stream to get data flowing to the right destinations in the right formats, right away. Read the case study to learn how.
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67 FINRA Requests Comment On Regulatory ... - Mondaq
https://www.mondaq.com/unitedstates/financial-services/1103334/finra-requests-comment-on-regulatory-implications-of-cloud-computing
Targeted, incremental and iterative rollouts. Firms tended to launch their migration to the cloud in discrete steps, and many firms started with ...
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68 FileCloud Compliance - FINRA, HIPAA GDPR and NIST 800 ...
https://bestirtech.com/filecloud-compliance-standards-finra-hipaa
FileCloud is a hyper-secure cloud storage and file sharing system with tools in place to help admins and compliance officers achieve compliance and keep it.
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69 Seven Essential Takeaways from FINRA Rule 3110 and SEC ...
https://www.innreg.com/blog/seven-essential-takeaways-from-finra-rule-3110-and-sec-rule-17a-4
3. Securities firms must inform their staff which cloud storage locations or local servers are SEC compliant and ensure that employees are ...
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70 FINRA Publishes 2022 Report on Its Examination and Risk ...
https://www.mayerbrown.com/en/perspectives-events/publications/2022/02/finra-publishes-2022-report-on-its-examination-and-risk-monitoring-program
FINRA adds new topics for 2022 and new material to previously ... to be “More Technology Neutral” and Specifically Address Cloud Storage.
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71 A Look Inside FINRA's Data & Analytics Architecture - Okera
https://www.okera.com/blogs/an-inside-look-at-finras-massive-data-analytics-architecture/
FINRA's Data & Analytics Infrastructure · Benefits of Moving to a Cloud Data Lake · Add a Data Catalog for Metadata and Data Governance · Up To 450 ...
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72 FINRA and RingCentral - AmCom Solutions
http://www.amcomsolutions.com/lp/FINRA-amcom-RingCentral_cobranded.pdf
controls for cloud providers as established by FINRA. By ... storage, collection, and usage of their data and ... Ensure RingCentral cloud communications.
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73 Alibaba Cloud OSS complies with the compliance ...
https://www.alibabacloud.com/blog/alibaba-cloud-oss-complies-with-the-compliance-requirements-of-u-s--sec-and-finra_594797
Alibaba Cloud Storage May 13, 2019 20,495 0 ... For example, OSS meets compliance requirements such as EC Rule 17a-4(f), FINRA 4511, and CFTC 1.31.
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74 THE DESIGNATED THIRD PARTY (D3P) REQUIREMENT
https://www.fdh.com/bulletin/The-Final-Frontier-of-SEC-Rule-17a-4-f
to “onsite” or “online” access. — the ability to retrieve data ... we will see FINRA enforcement ... The SIA explained to the SEC that optical storage.
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75 FINRA Cybersecurity: Where Should Financial Services Firms ...
https://www.imprivata.com/blog/finra-cybersecurity-where-should-financial-services-firms-focus-on-cloud-compliance
FINRA itself has been able to process an “unprecedented” amount of market activity thanks to cloud storage. Still, the FINRA cybersecurity ...
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76 Rule 17a-4 D3P Services - $500
https://sirsco.com/sea-rule-17a-4/
In its 2017 Regulatory and Examination Priorities Letter, FINRA informed firms that its ... Google Cloud Storage meets the requirements of SEC Rule 17a-4 ...
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77 SEC and FINRA Email Archiving Policy - MirrorWeb
https://www.mirrorweb.com/blog/sec-and-finra-email-archiving-policy
From FINRA record retention requirements to SEC rule 17a-3, ... A huge benefit of WORM data storage that uses cloud technology is it frees ...
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78 Proofpoint Enterprise Archive for SEC and FINRA Compliance
https://www.proofpoint.com/sites/default/files/pfpt-us-ds-enterprise-archive-sec-finra-compliance.pdf
that Proofpoint—unlike many other cloud providers—was designed for those with ... indexes and records preserved on the electronic storage.
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79 Financial Industry Regulatory Authority (FINRA)
https://www.stayinbusiness.com/financial-industry-regulatory-authority-finra/
Our BCDR platform helps you to design detailed business continuity plans that meet the requirements of the Financial Industry Regulatory Authority (FINRA).
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80 FINRA - Starburst Data
https://www.starburst.io/resources/finra-case-study/
When redesigning its data platform, FINRA chose to separate compute and storage and query its multi-PB AWS data lake using Starburst Enterprise, the world's ...
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81 FINRA Fines Lincoln Financial Sub $650,000 ... - Bracewell LLP
https://bracewell.com/insights/finra-fines-lincoln-financial-sub-650000-cybersecurity-shortcomings
In November 2012, LFS adopted written supervisory procedures (“WSPs”) regarding the storage of customer data on the cloud-based server.
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82 AWS re:Invent 2017: FINRA's Managed Data Lake - YouTube
https://www.youtube.com/watch?v=m4dqyfqpZzE
Amazon Web Services
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83 Essential Compliance Regulations for Cloud Data Storage
https://nabcrmp.org/f/essential-compliance-regulations-for-cloud-data-storage
New Jobs @ FINRA 2 of 3 Senior Principal Investigator, Cyber Security ... In managing cloud data storage, several laws and/or regulations are essential for ...
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84 FINRA Publishes Report Detailing Uses of AI in the Securities ...
https://www.jdsupra.com/legalnews/finra-publishes-report-detailing-uses-15236
FINRA requested input from the securities industry regarding potential ... of inexpensive computing power, large datasets, cloud storage, ...
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85 Final Rule: Electronic Recordkeeping Requirements for ...
https://www.sec.gov/rules/final/2022/34-96034.pdf
SEC and FINRA examiners typically do not request records in WORM ... “[s]ince cloud storage is similar to storing the records in-house with ...
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86 WORM in the Cloud | Deloitte US
https://www2.deloitte.com/us/en/pages/advisory/articles/worm-in-the-cloud.html
Under this definition, there are two ways in which firms can (and in some cases, already do) use cloud solutions for regulated record storage. The most ...
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87 Data Preservation and Archiving under FINRA Rules - Dropsuite
https://dropsuite.com/blog/data-preservation-and-archiving-under-finra-rules/
Our cloud-based email archiving helps organizations efficiently archive, store, safeguard, manage, and discover data from most email systems.
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88 The Ultimate Manual To Box Governance - Nira
https://nira.com/box-governance/
Box, a leading cloud storage provider, finally made good on its promise to deliver full FINRA compliance. The company announced a new add-on tool in a bid ...
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89 Docupace for Document Management Solution
https://www.docupace.com/resources/docupace-for-document-management-solution/
Going paperless is a must, but most cloud-based solutions don't integrate with financial services software and could leave you open to SEC and FINRA compliance ...
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