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