Guidance for Rule 4530

The Financial Regulatory Authority (FINRA) Regulatory Notice 11-32 provides questions and answers for further understanding of reporting regulations for Rule 4530.

This is a guidance notice for key topics like customer complaints, financial-related insurance matters, former associated persons, internal conclusions and reporting requirements.

This regulation expects the following content channels to be in compliance: email, instant messaging, social media, text/SMS, audio, video, website and blogs. The global regions for the FINRA Regulatory Notice 11-32 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.

Are you compliant?

We Can Help