The Financial Regulatory Authority (FINRA) Regulatory Notice 12-29 is a new rulebook about communications with the public, effective starting on February 4, 2013.
The key topics outlined in this notice include advertising, communications with the public, correspondence, institutional communications and retail communications.
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.