What standards must be met in order for software to be broker-dealer approved before it can be used by a financial planner?
Are these standards published any where? (similar to banking standards published by the FFIEC)
I am aware of SEC rule 17a-4(f) for electronic file retention, but I can't seem to locate any other standards.
- Joined: Thu Nov 13, 2008 10:30 am
- Yes, to Another Wirehouse or Regional Firm.
- Yes, Considering Independence.