Electronic Communications Compliance Checklist for
Broker-Dealers

Use this checklist to review your compliance programs and ensure your firm is meeting its FINRA & SEC regulatory obligations.

 

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The requirements for electronic communications recordkeeping, storage and supervision can be daunting. Without due oversight, broker-dealers put their business at risk of litigation, fines or other enforcement penalties from FINRA and the SEC. 

This checklist provides an overview of recommendations that can help streamline oversight processes and reduce the chance of regulatory risk.

This checklist will help you with your compliance programs when considering components such as:

  • Written policies and procedures
  • Supervision
  • Mobile device management