FINRA Rule 3110.07: Evidence of Review of Correspondence and Internal Communications

FINRE Rule 3110.07 requires firms to chronicle the evidence of review required by Rule 3110(b)(4) to clearly identify the following information:
(1) The reviewer’s identity,
(2) The internal communication or correspondence that was reviewed,
(3) The date of review, and
(4) The actions taken by the member as a result of any significant regulatory issues identified during the review.

FINRA Rule 3110.07 states that solely opening a communication does not suffice as reviewing the communication.

Link to Rule: http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=11345
Helpful Link: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=11470