FINRA 3010 - Supervision of Sales Activities

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.

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.

Helpful Links:

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