On the books – FINRA fine proves marketing comms can be a recordkeeping risk

A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.


A Simple Guide to FINRA Rule 4530

Navigate FINRA Rule 4530 with our straightforward guide. Understand requirements, and compliance strategies in this easy-to-follow resource.