David Wright

Carlton Fields

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What’s Up With WhatsApp and Text Messaging? SEC and FINRA Weigh In

The SEC requires broker-dealers to maintain originals of all communications received and copies of all communications sent by the broker-dealer relating to its business for three years. The SEC has explained that Rule 17a-4...more

9/26/2022 / Broker-Dealer , Electronic Communications , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Securities and Exchange Commission (SEC) , Text Messages , WhatsApp

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David Wright

Carlton Fields

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Latest Posts › Enforcement Actions

What’s Up With WhatsApp and Text Messaging? SEC and FINRA Weigh In

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