FINRA Compliance

Website Archive - view of your site day by day.

FINRA (Financial Industry Regulatory Authority) was created in July 2007 with the consolidation of the regulation enforcement and arbitration functions of the New York Stock Exchange with the National Association Of Securities Dealers (NASD).

FINRA in conjunction with the Securities and Exchange Commission (SEC) are regulatory agencies for the financial services industry in the United States.

To be compliant with the guidelines, storage, retrieval and surveillance solutions need to be in place. Some of the guidelines include: SEC 17a-3 and 17a-4, NASD 3010 and 3110, NYSE 342, 440 & 442 and SEC RIA 204-2 and 206(4)-7.

 
 

Regulatory Notice 10-06

FINRA compliance has recently become more complicated with the release of Regulatory Notice 10-06, which covers social networking. In overview:
  • Micro-blogging sites like Twitter are regarded as advertisements.
  • Email or instant messenger that are sent to more than 25 prospects is considered as sales literature.
  • Email or instant messenger sent to less than 25 prospects within 30 days, or a single destination, or an unlimited number of retail clients is considered correspondence.
  • Social media sites like Facebook or LinkedIn that have password protection are regarded as sales literature.
  • Discussuions in chat rooms as considered as public appearances.
 

Our Solution:

 

Daily screenshots of your website

We capture screenshots of your public website pages, password protected areas as well as full e-commerce transactions, using real browsers.
 

Regulatory Compliance

Prove what your website pages looked like on a particular day to comply with various regulations such as FINRA anf Sarbanes Oxley (SOX).
 

Safe & Secure

The screenshots are securely stored and archived by us. We can provide a regular DVD or hard disk of all your archived pages that can then be placed into a secure ESCROW facility.
 

Leave it all to us

No hardware or software for you to buy, maintain or upgrade - it is operated as a subscription service. Tell us which website pages or user journeys you want recording and we do the rest.
 

Cost Effective

Daily, Weekly or Monthly screenshots of all your website pages for an all inclusive price.
 

30 day, no commitment trial


 

Please Robin Storey our Sales Manager, or any of the Sales Team at our UK Head Office if you have any specific requirements that you would like to discuss - see our Contact us page for details.