Requires member organizations to establish and maintain a system of supervision, demonstrate that their system is complete, evaluate it on a regular basis and ensure that it remains effective. NASD & NYSE affects members of the National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE). Record-keeping requirements concerning Email communications.

Helpful Links:

Rule interpretation from FINRA's website

Related Products:

Smarsh Email Archiving
Smarsh Instant Messenger
smarshCRM
smarshDLP
smarshEncrypt
Social Media Archiving
Virtual Compliance Officer

Back to listing of regulations & laws

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

Industry News

View All Industry News

Smarsh� offers industry-leading email archiving & regulatory compliance services for Exchange, Lotus Notes, GroupWise and SMTP, enabling companies to meet growing litigation readiness, compliance, and corporate governance needs. Smarsh� provides a common interface for e-mail, instant message ( im ), and file / document discovery which simplifies electronic records retrieval, classification, review, policy management and legal document production. Suitable for the securities, hedge fund, accounting, and healthcare industries, Smarsh � offers a proven email archive solution for compliance with SEC, FINRA (NASD / NYSE), GLBA, HIPAA, FRCP, FERC & Sarbanes Oxley regulations. smarshCRM is offered through Smarsh CRM Services, Inc.