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Stay compliant with FINRA and the SEC marketing rules
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Why bother?
FINRA regulatory notices 10-06, 11-39, and 17-18 put more of an emphasis on the content of the message rather than the digital platform.
Any digital business related communications with the public must be archived and supervised in accordance with rules 17a-3 and 17a-4, no matter the medium ( email, text, social, website, blog, marketing material, etc)
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“IEX Group, Inc operates a stock exchange and affiliated broker-dealer and knows the critical function of handling data flawlessly. Since 2013, we have trusted Patrina to retrieve, process, and store our files in a way that keeps us compliant with our record-keeping obligations..”
Robert Dukesherer, Chief Compliance Officer,
IEX Group, Inc.
Patrina
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