FINRA Rule 8210

FINRA Rule 8210 has been amended by the SEC to require encryption of information provided via portable media device. As an example, when electronic documents are sent to FINRA via portable media devices like CDs, DVDs, USB drives or portable hard drives, the encryption on these devices must meet “industry standards.” FINRA has defined this as being 256-bit or higher encryption. Additionally, the confidential process or key to decrypt the communication must arrive separately from the encrypted portable media device itself.

Encryption must also be used even if the files do not contain personal information.

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:
Regulatory Notice 10–59, details amendment to FINRA Rule 8210 requiring encryption

Press Release: Smarsh Adds File Encryption to Archiving and Compliance Suite
Smarsh File and Email Encryption

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