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- How Compliant is YOUR Email Archive?
- Failure to archive your emails can have dire consequences for your business. Do any of these regulations impact you? Sarbanes-Oxley SOX Act HIPAA Gramm-Leach Bliley Act GLBA Securities and Exchange Commission SEC Rules National Association of Securities Dealers NASD Rules Investment Dealers...
- Resource centers 2008-03-01
- Compliance: SEC 17a-4/NASD 3010/3110
- 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...
- White papers 2007-04-17
- Search Tool Helps NASD Save Time, Gain Better Management Capabilities
- NASD is the primary private-sector regulator of the United States securities industry. It oversees the activities of more than 5,100 brokerage firms, approximately 105,000 branch offices, and more than 650,000 registered securities representatives. The organization relies on electronic document analysis to investigate complaints and examine NASD-regulated firms. As part of...
- Case studies 2006-02-01
- Adirondack Electronics Markets Complies With SEC and NASD Regulations Regarding Email Retention and Supervision, Reducing Risk
- Adirondack Electronics Markets AEM is a broker/dealer that represents agency and proprietary orders on the Exchange. AEM needed to achieve full compliance with SEC and NASD requirements regarding email retention and supervision, and to provide legal protection from the risks and costs of email discovery and litigation requests. AMC implemented...
- Case studies
- Entire Firm Uses Assentor for SEC/NASD Compliance and to Respond to Litigation
- One of the largest leading providers of private banking services and one of the largest asset managers globally became an early adopter of Assentor in 1998 because it was the only solution to provide a sophisticated and robust compliance tool to meet their needs. Assentor addresses the firm's challenge of...
- Case studies
- Abel/Noser Meets Regulatory Requirements for E-mail Recordkeeping and Monitoring With Help From EMC
- As a brokerage firm, Abel/Noser is subject to the regulations of the Securities Exchange Commission SEC, the National Association of Securities Dealers NASD, and the New York Stock Exchange NYSE. When the SEC released rules 17a-3 and a-4, regarding e-mail record retention and storage, the Vice President of the company...
- Case studies
- Securities-Industry Regulator Streamlines Development, Delivers Unique Tool
- Seeking a practical way to boost the functionality and versatility of an online tool used by millions of investors, IT executives at NASD deployed a new version of the tool with the help of the Microsoft Visual Studio 2005 development system. Enlisting the product's support for the Master Pages feature...
- Case studies
- Securities Firm Avoids NASD Penalties With FaceTime IMAuditor
- Instant messaging IM is posing supervisory, recordkeeping and compliance challenges for securities trading firms. Though this form of real-time communication may not be as mature as e-mail and paper-based communications, it is not exempt from the compliance standards set forth by the NASD and SEC. FaceTime IMAuditor provides 100% accurate...
- Case studies
Additional Resources
- Vonage replaces CEO, still rudderless
- Perhaps Michael Snyder stepped down as CEO of Vonage because he realized he wasnt the best executive for the job. But naming company founder Jeffrey Citron as interim CEO--even for a short time--may not be the best fix either. Why?...
- Blog posts 2007-04-12
- Massive fraud, 'free' trades roil online stock brokerage
- The FBI, the SEC and the NASD are investigating losses at TD Ameritrade and ETrade stemming from “one of the biggest cases of identity theft to strike the U.S. securities industry,” online infiltration of customer accounts by computer hackers in Eastern Europe and Asia, according to Bloomberg reports: In one...
- Blog posts 2006-10-24
- TradeKing CEO talks 'The Real Deal': Web 2.0 meets online trading, exclusive interview
- Donato A. Montanaro, Jr., TradeKing’s founder and CEO, is one of the true electronic brokerage pioneers. He worked in the nascent industry back in 1992 when, he recalls, “online trading meant connecting to a broker through CompuServe with a 1200-baud dial-up modem.”Montanaro was the founder and President of SureTrade, launched...
- Blog posts 2006-09-20
- New pump and dump scheme
- New pump and dump schemeSecurity Breeches Lead to Customer AttritionI will assume that the Investment Dealer's Association of Canada is monitoring and taking action when they suspect that an investor's account is being compromised. With that assumption, notifying invester customers is appropriate, so that the customer can be alert to...
- Discussion threads 2006-08-31
- Kahn Gauthier Swick Vonage suit: fee-hungry underwriters, unsuitable stock
- Once again, I am not a securities attorney, nor an attorney of any kind.But part of my work involves watching Vonage very closely, and reporting on all aspects of the company. I'm also a Vonage customer. From these multiple perspectives I will now take a look at the Kahn...
- Blog posts 2006-06-08
- BULLETIN: Vonage hit with class-action shareholder lawsuit
- Law firm Motley Rice LLC said this evening it has filed a class action lawsuit in the United States District Court for the District of New Jersey on behalf of purchasers of the common stock of Vonage Holdings Corp. The law firm issued a...
- Blog posts 2006-06-02
- OK, Vonage IPO investors may catch a break, but what were you smokin' to begin with?
- There it is. A living, breathing, frank admission on the part of Vonage that the IPO price ($17 a share, now declined to $11.63 at the end of Thursday's trading) was not going to hold up in the short term.I didn't say, and they didn't say might not dilute....
- Blog posts 2006-06-02
- CA Message Manager: IM Link
- Instant messaging is fast becoming a critical tool for time-sensitive business communication. More organizations employing instant messaging as real time collaboration tool with partners, customers and employees. Inherent these conversations are business critical information, which should be centrally managed. Archiving IM is essential in the financial services industry, where the...
- White papers 2005-12-01
- Email Records Management and Compliance "Best Practices" for the Insurance Industry
- Within the insurance industry, the Gramm-Leach-Bliley Act of 1999 preempted state laws regarding the sale of insurance products by financial institutions and their affiliates. The Act permits affiliation between banks and insurance companies, and imposes certain customer protections and dispute resolution procedures, as well as allowing states to impose certain...
- White papers 2004-11-01
- Linux lab hires lawyers for Torvalds
- Linux lab hires lawyers for TorvaldsOnly in the USI can't help but feel that a lawsuit this stupid can only happen in the US. I don't think it would be possible in my countrythe Netherlands to launch a suit saying:"You stole something of mine but I'm not going to tell...
- Discussion threads 2003-11-13
- Financial Firms Using Communicator Inc's Hub Connex Group Chat to Share Market Information
- Hub Connex launched its enterprise group discussion Forums in 2001 and now hosts over 5,000 group Forums, with the world's largest broker-dealers and hundreds of investment management firms and hedge funds. The Hammerstone Group, an investment partnership and trading application provider, uses Hub Connex to connect over 100 professionals across...
- Case studies
- Business Crisis and Continuity Management Consulting Delivers Greater Compliance, Lower Exposure to Risk, and Increased Peace of Mind to the Financial Services Industry
- Integra Financial is part of the Walnut Street Securities WSS "Supply Chain" and therefore, subject to many of the same regulatory and legal requirements such as GLBA, OFAC and NASD Rule 3510. In order to maintain compliance with the policy of MetLife and its affiliated companies, including Walnut Street Securities,...
- Case studies
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