Requires firms to maintain a system to supervise transactions and correspondence with their users. Companies should establish and maintain a supervisory system with written procedures, reviewing incoming and outgoing electronic correspondence on a regular basis.

Helpful Links:

Documentation on 3010 Supervision of Sales Activities on FINRA's website

Related Products:

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

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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.

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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.