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Broker-dealers must capture, retain and supervise all electronic messaging -- including email, instant messaging, Bloomberg, social media, mobile messaging and other electronic data records. 

Download our Broker-Dealer Compliance Guidebook to help you navigate the FINRA & SEC requirements for electronic communications. 

This guide will cover:

  • An overview of FINRA and SEC rules for record keeping and supervision of electronic communications
  • Who must comply with these rules
  • What type of messages must be archived and supervised
  • Legal compliance filings and 3rd party downloader requirements 

 

Contact a Specialist