FINRA Rule 3110(b)(4): Review of Correspondence and Internal Communications

FINRA Rule 3110(b)(4) requires firms to have supervisory procedures in place to review incoming and outgoing written (including electronic) correspondence and internal communications relating to its investment banking or securities business. Firms must review:
(1) Incoming and outgoing written correspondence to identify and handle customer complaints, instructions, funds and securities and communications whose subject matter requires review under FINRA rules and federal securities laws; and
(2) Internal communications to identify communications of subject matter requiring review under FINRA rules and federal securities laws.

Review of these correspondences and communications must be conducted by a registered principal and evidenced in either electronic or paper writing.

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