Electronic Communications Compliance Checklist for Broker-Dealers
Use this checklist to review your compliance programs and ensure your firm meets its FINRA & SEC regulatory obligations.
The requirements for electronic communications recordkeeping, storage and supervision can be daunting. Yet, without due oversight, broker-dealers put their business at risk of litigation, fines or other enforcement penalties from FINRA and the SEC.
In this guide, you’ll find a checklist and an overview of recommendations around components such as:
- Written policies and procedures
- Mobile device management