Resources




Rules & Regulations

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Financial Markets


Investment Adviser's Act: SEC Rule 204-2 Overview
NASD 2211 Overview
NASD 3010 & 3110 Rules Matrix
NASD 3010 & 3110 Rules Overview
NYSE 446 Overview
Retention by Data Type and Business Unit
SEC 17a-4 Matrix
SEC 17a-4 Rules Overview
SEC 203(b) (3)-2 Hedge Funds Overview
SEC 206(4)-7 Overview
SEC Rule 38a-1 (Mutual Funds) Overview

 

Discovery, Freedom of Information

 

Florida Government-in-the-Sunshine Law Overview
Federal Rules of Civil Procedure (FRCP) Overview
Federal Rules of Civil Procedure (FRCP) Rules Matrix
Federal Rules of Civil Procedure (FRCP) Summary Matrix
Sarbanes-Oxley (SOX) Overview
UK Freedom of Information Act Overview
US Freedom of Information Act Overview

 

Security and Privacy

 

Basel II Overview
California Security Breach Notification Act (SB 1386) Overview
Canada Personal Information Protection and Electronic Documents Act (PIPEDA) Overview
Graham-Leach Bliley Act (GLBA) Overview
Health Insurance Portability and Accountability Act (HIPAA) Overview
Health Insurance Portability and Accountability Act (HIPAA) Security Rules Matrix
Japan's Personal Information Protection Act (PIPA) Overview