Regulatory Notice 14-10 explains the consolidated supervision rules from FINRA.
On December 1, 2014, the new Rules 3110, 3120, 3150 and 3170 replaced NASD Rules 3010, 3012 and 3110(i) and other corresponding NYSE rule provisions.
The key topics of the regulatory notice 14-10 are communications, holding customer mail, supervision, supervisory controls, taping rules and transaction review. The content channels expected to be in compliance include: social media, text/SMS, audio, video, website and blogs. The global regions include 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.
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* 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.