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Sender:
Records Management Program <[log in to unmask]>
Date:
Mon, 16 Nov 2015 20:38:48 -0600
Reply-To:
Records Management Program <[log in to unmask]>
Subject:
Finra Fines Scottrade $2.6 Million Over Electronic Records
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From:
PeterK <[log in to unmask]>
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To: RAINbyte <[log in to unmask]>
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Scottrade Inc. will pay $2.6 million for failing to retain a large number
of securities-related electronic records in the required format and for
failing to retain certain categories of outgoing emails, the Financial
Industry Regulatory Authority said Monday.

The discount brokerage also didn’t have a reasonable supervisory system in
place to achieve compliance with certain records rules, according to Finra.


http://on.wsj.com/1X3w5lj
http://on.wsj.com/1X3w5lj+


-- 
Peterk
Dallas, Tx
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Save our in-boxes! http://emailcharter.org
"The problems of our economy have occurred not as an outgrowth of
laissez-faire, unbridled competition.
They have occurred under the guidance of federal agencies, and under the
umbrella of federal regulations."
Senator Ted Kennedy, in defending trucking deregulation in 1978.

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