Regulation guides
- 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.
- SEC Rule 17a-3 Requires firms to create records of every business communication. Most firms focus on storage and skip this rule. What compliance means in practice.
- FINRA Rule 3110 Requires broker-dealers to establish a supervisory system and written supervisory procedures reasonably designed to achieve compliance — and prove it works.
- FINRA Off-Channel Communications FINRA and the SEC have issued $2B+ in fines since 2021 for off-channel messaging failures. What the enforcement record shows and what a compliant approach requires.
- FINRA Rule 2210 FINRA Rule 2210 requires broker-dealers to review, approve, and retain all public communications, including social media. What a compliant program actually needs.
- SEC/FINRA Exam-Ready Checklist A practical checklist for RIAs and broker-dealers preparing for examination — archive readiness, WSPs, supervision documentation, and what examiners actually check.
Coming soon
- FINRA Rule 2220 — Options Communications
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