Posts Tagged ‘U.S. Securities and Exchange Commission (SEC) Rules’

• U.S. Securities and Exchange Commission (SEC) Rules 17a-3, 17a-4 and l7ad-7

  • January 18th, 2013
  • Posted in Content Management, Document Management, Enterprise Content Management (ECM)
  • Tags: document management system, ECMNOW!, Enterprise Content Management, U.S. Securities and Exchange Commission (SEC) Rules

  Under the Securities Exchange Act of 1934, U.S. Securities and Exchange Commission (SEC) Rules 17a-3, 17a-4 and l7ad-7 outline the record archiving rules for the securities industry. SEC 17 specifies which documents need to be stored, including sales records, ledgers… Read More