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