Checklist

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
• Supervision
• Recordkeeping
• Mobile device management