The Financial Regulatory Authority (FINRA) Rule 8210: Provision of Information and Testimony and Inspection and Copying of Books.
What does this mean? You must be compliant if under investigation of any kind. If a member is asked to provide information in any form or to testify, the member must do so.
The content channels expected to be in compliance include: social media, text/SMS, audio, video, website and blogs. The global regions for the FINRA Rule 8210 are North America and the United States.
For more compliance regulation rules, visit our Archiving Compliance Regulations & Supervision Rules page with all of the financial services regulations.
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* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.