SEC & FINRA Compliance Toolkit for Digital Communications

A practical toolkit to help financial services firms assess risk, evaluate vendors, and streamline compliance workflows.

Financial services firms are expected to maintain accurate, audit-ready records across websites, social media, and messaging platforms. Unfortunately, most CMS website backups and social media platform exports simply will not meet regulatory requirements, leaving firms at serious risk of missing records and non-compliance.

This toolkit is designed to help compliance professionals identify risks with their current tools, policies, and workflows, improve internal policies, and ensure their firm is up-to-date and satisfies SEC & FINRA recordkeeping rules.

Inside, you’ll get a quick-reference SEC & FINRA rules guide, a comprehensive digital risk assessment worksheet, detailed compliance checklists, and a technology evaluation framework to help you partner with the right vendor for your digital recordkeeping.

What’s Inside:

• SEC & FINRA Recordkeeping Rules Quick Reference Guide
• Digital Communications Risk Assessment Worksheet
• Website & Social Media Compliance Checklists
• Digital Recordkeeping Technology Buyer’s Guide

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