Supervision & Supervisory Control System

NASD Rules 3010, 3012 and 3110(i) along with corresponding NYSE rule provisions have been replaced by FINRA compliance rules 3110, 3120, 3150 and 3170, effective as of December 1, 2014

Ultimately, FINRA 3120 is a supervisory control system rule that requires each member to designate and specifically identify one or more principals to establish, maintain and enforce a system of supervisory control policies and procedures to FINRA. You can find the detailed procedures on the FINRA website.

The content channels expected to be in compliance include: email, instant messaging, social media, text/SMS, audio, video, website and blogs. The regulated regions are North America and the United States.

For more compliance regulation rules, visit our Archiving Compliance Regulations & Supervision Rules page with all of the financial services regulations.

With more than 20 years of innovation under our belts, Erado is the nation’s first comprehensive archiving platform. We specialize in unified and compliance archiving and have developed a simplified user experience for our customers. Our patented technology archives more than 50 communication channels like email, social, mobile, web, apps and more.

* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.

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