Finra Fines Barclays Capital Over Record Keeping - WSJ.com
Finra said that from at least 2002 to 2012 Barclays Capital Inc. allegedly
didn't preserve many of its required electronic books and records,
including order and trade ticket data, trade confirmations, account records
and other items in the proper format. Business-related electronic records
must be kept in a non-rewritable, non-erasable format, according to Finra
and federal securities law.


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