Regulatory Compliance

A compliance team's reference for the regulations that govern electronic communications and recordkeeping.

• SEC 17a-4  
  SEC Rule 17a-4 requires broker-dealers to retain all business communications, including mobile messaging. Here's what a compliant archive actually needs.
• FINRA Rule 4511
  FINRA's books and records rule requires broker-dealers to create and preserve every required book and record, including all electronic communications, under the standards set by the Securities Exchange Act.

For more context, see our resource overview.

‍

• Resource Guide for Compliance and Regulations
  Includes terminology, guides, and compliance explainers.