FINRA Communications Supervision12
FINRA
Requirements in this framework
- Books and records retrieval readiness
- Communications content standards
- Correspondence and internal communication review
- Exception escalation and remediation governance
- Off-channel communication supervision
- Principal approval workflow controls
- Recordkeeping and retention
- Research and correspondence distinction controls
- Retail communication filing obligations
- Supervisory system for communications
- Supervisory training and annual certification
- Training and attestation