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SEC Rule 17a-4 Compliance Assessment



The SEC Rule 17a-4 Compliance Assessment

Under SEC 17a-4, the permissible medium of storage has evolved with technology, which now allows the broker or dealer to preserve records on electronic storage media. This white paper covers an in-depth analysis of each of the five requirements under SEC Rule 17a-4 and how OwnBackup Integrity and Compliance Edition, or OwnBackup ICE, Powered by Blockchain, enables Salesforce customers to meet these requirements. 



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