SEC NASD/FINRA Overview

What are SEC NASD/FINRA Regulations

These are records management and retention regulations that effect broker dealers, registered investment advisor, and registered representatives.

How are Email and Instant Message Records Involved?

Today, the vast majority of organizations use email and instant messaging to communicate internally and as a vehicle for the exchange of documents and correspondence between businesses and their outside consultants, accounting firms and audit firms. Since these communications often contain information about business transactions and business decisions, these email communications must be retained and supervised in order for an organization to comply with the provisions of the SEC and NASD/FINRA.

What are the Regulations that are Relevant to Record Retention and Management

• SEC 17a-3   
• NASD/FINRA 03-33
• NASD/FINRA 2210
• NASD/FINRA 3010
• NASD/FINRA Internet Guide

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