No more excuses! SEC and NASD regulators require adequate record keeping and monitoring of all electronic communications including email as specified in NASD Rules 3010, 3013 and 3110.
NASD Guide to the Internet for Registered Representatives
FINRA has developed this page to make registered representatives (RRs) aware of the compliance requirements and potential liabilities when using the Internet and electronic communications.
This page addresses some general compliance requirements that apply to electronic communications. It also discusses specific considerations relating to the use of e-mail, instant messaging and websites including chat rooms, blogs and bulletin boards. We have based the information on published rules, interpretations and notices. Wherever possible, a link to the actual text of the rule or interpretation is provided.
An RR's compliance responsibilities when communicating via the Internet or other electronic media are the same as in face-to-face discussions or in written communications with the public. In addition, RRs must be aware of internal firm policies and procedures that may restrict or prohibit the use of electronic communications.
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