Regulations and Laws

Use the filters below to find regulations and laws relevant to you and your company.

Related to: Broker-Dealer

• Connecticut Public Act 08-167
• FINRA 2210 - Communications with the Public
• FINRA 2211 - Institutional Sales Material & Correspondence
• FINRA 2310 - Recommendations to Customers (Suitability)
• FINRA 3010 - Supervision of Sales Activities
• FINRA 3012 - Supervisory Control System
• FINRA 3110 - Books & Records
• FINRA 3510 - Business Continuity Plans
• FINRA Guide to the Web for Registered Representatives
• FINRA Regulatory Notice 07-59
• FINRA Regulatory Notice 10-06
• FINRA Regulatory Notice 10-59
• FINRA Regulatory Notice 11-32
• FINRA Regulatory Notice 11-39
• FINRA Rule 8210
• NYSE 342 - Offices - Approval, Supervision & Control
• NYSE 410 - Records of Orders
• NYSE 440 - Books & Records
• NYSE 472 - Communications with the Public
• Regulation S-P
• Sarbanes-Oxley Act of 2002 (SOX)
• SEC 17a-3 - Records to be Made by Certain Exchange Members
• SEC 17a-4 - Electronic Storage of Broker-Dealer Records

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.