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Industry report: Legal opinion – WORM storage

HubStor is a cloud archive, backup, and storage tiering solution with industry-leading security and data management capabilities. It has been specifically designed to store records in compliance with Rule 17a-4 under the Securities and Exchange Act of 1934 (“Exchange Act”). This white paper reviews HubStor from that perspective, and outlines how HubStor complies with the particular and stringent electronic data storage requirements of Rule 17a-4. Broker-dealers subject to regulation by the Securities and Exchange Commission (the “SEC” or the “Commission”) and FINRA can confidently use HubStor to comply with the requirements of Rule 17a-4.

Key highlights

  • HubStor legal capabilities synopsis
  • Rule 17a-4 storage requirements

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