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Broker-Dealer software approval

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Broker-Dealer software approval

Postby Estate++ » Tue Mar 11, 2008 12:56 pm

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.

Estate++
 
Joined: Thu Nov 13, 2008 10:30 am
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