Sentinare PostVault Outsourced Email Archive. SEC & FINRA (NASD) Compliant
Sentinare PostVault. SEC & FINRA (NASD) Compliant.
Outsourced Email Archiving and Searching.
SEC 17a-4 & FINRA (NASD) 3010/3110 Message Archiving
Rules and Regulations
In 2003, the U.S. Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) (now FINRA -- Financial Industry Regulatory Authority) provided clarification that brokers, dealers and other financial exchange members are required to preserve all electronic communications relating to their businesses for three years.
The consensus now suggests that any emails that may be construed as "business records" should be retained for the period required. Therefore, it is especially important to preserve any form of electronic communications that takes place.
Complete FINRA (NASD) Conduct Rules 2000-3520 as a PDF
Complete SEC Rules 17a-3, 17a-4, 17a-8 as a PDF
SEC Rule 17a-4 (Retention)
The Securities and Exchange Commission has put in place a comprehensive and specific set of rules for the management of electronic communications. These rules include storage of duplicate copies, maintenance of indices, and the ability to present stored messages for inspection and review. Archives must be readily available for up to two years and at least accessible for the year following.
FINRA (NASD) Conduct Rules 3010 & 3110 (Retention)
FINRA (NASD) members are required to have a system in place to supervise the activities of its employees and business associates, which will allow the retention and monitoring of all business transactions. This also includes the preservation of all customer correspondence, much of which may be in the form of emails.
Read FINRA (NASD) Rule 3010 HTML PDF
Read FINRA (NASD) Rule 3110 HTML PDF
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