Laws and Regulations Archives | Page 4 of 4

Broker-Dealer and Investor Alert: SEC 17a-4 recordkeeping compliance saves time, money, and your reputation

Your grandmother handled all her own investing by emailing her broker. She has bequeathed her investments to you.

A patient in distress sends an unencrypted email to her doctor of 15 years using his office email address.

The number of message-archiving regulations (some 5,000 now estimated in the U.S.