Each member shall make and preserve books, accounts, records, memoranda, and correspondence in conformity with all applicable laws, rules, regulations and statements of policy promulgated there under and with the Rules of this Association and as prescribed by SEC Rule 17a-3. The record keeping format, medium, and retention period shall comply with Rule 17a-4 under the Securities Exchange Act of 1934.

Helpful Links:

Documentation on 3110 Books & Records on FINRA's website

Related Products:

Smarsh Email Archiving
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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.