HubStor WORM Storage for SEC Rule 17a-4 Compliance - Legal Opinion White Paper

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SEC/FINRA Compliance

Third-party Legal Opinion

David Smyth, a former Assistant Director in the SEC’s Division of Enforcement, has completed this legal opinion white paper looking at HubStor’s fitness for SEC Rule 17a-4 compliance.

Mr. Smyth discusses requirements such as:

  • Immutability of records
  • Indexing and auditing
  • Durability and availability
  • And more!

Complete the form to receive your copy.