Tuesday, May 25, 2010

FINRA - Annual Conference kick-offs | FINRA Fined Piper Jaffray $700,000 for Email

FINRA - Annual Conference

kick-offs tomorrow following yesterday's announcement that it Fined Piper Jaffray $700,000 for Email Retention Violations, Related Disclosure, Supervisory and Reporting Violations

Retention issue: Finra fines Piper Jaffrey over email archiving

– As summarized by the Investment News, Finra on Monday said the firm failed to keep 4.3 million e-mails from late 2002 through 2008, due to intermittent technical issues with retention and retrieval.The problem came to light after Finra asked Piper for an electronic version of a hard-copy e-mail the regulator had obtained during a separate investigation. Only then did the firm inform Finra of the retention issues, Finra said. Who are you going to call? See a related article entitled Backup and archiving suggestions for small broker-dealers

It is too late now to register FINRA's Annual Conference: In-person attendance has sold out. Space is still available for the live streaming video broadcast.Select conference sessions will be available via on-demand video in late June. CLE-eligible audio will also be available in late June. Register for what you can for FINRA's 2011 Annual Conference.
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