Your Straightforward Guide to navigating FINRA compliance


FINRA exists in the United States as a self-regulatory organization dedicated to investor protection through effective regulation of broker-dealers. If you landed on this particular page of this particular website, you’re likely in that space and already knew the overarching ideal of FINRA. That’s a good start.

Complex interactive content is a win for marketers, but you can’t leave customer journey mapping compliance to the marketing department.

This whitepaper examines the regulatory risk associated with personalized online content, and outlines key ways to let your marketing team run free while you simplify compliance.

Some companies are less familiar with FINRA 10-06, which initially came around in January 2010. The bottom line on 10-06: companies are responsible for all business communications, regardless of medium or channel. That includes social media postings, internal communications (think chat apps, team productivity tools), and blogs. FINRA understood in 2010 that social media use would grow -- it has -- and wanted to make sure that “investors are protected from false or misleading claims and representations, and firms are able to effectively and appropriately supervise their associated persons’ participation in these sites.”

Need a refresh? Check out: Is a FINRA violation really that bad?

What does this mean for you?

As a firm, you need to make sure that:

  • Your technology is sophisticated enough to collect the posting data natively
  • Collection and preservation are done in a legally-defensible way
  • Captures don’t miss interactive or “rich” content
  • You have a plan and a trusted partner in the space

How Hanzo for FINRA Compliance Helps:

  • Automate capture frequency and source to be sure that your “business communication” is captured every day, week, or month, depending on your policies.
  • Capture dynamic content such as video, interactive ROI or scenario calculators, forms, and the metadata behind them.
  • Unveil complex customer journeys to capture personalized views of your online content.
  • Present your content in its native format to show compliance in even the most interactive scenarios.
  • Defend your captures with Hanzo’s legally defensible collection and preservation methods.
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Where does a firm begin?

Simplest terms: businesses need to be capable of managing their archiving infrastructure from a single console. Anything else will be too chaotic and run the business in multiple directions, which will detract from the central functions of the organisation.

The console must have automation features, be legally-defensible, and come from an organisation that understands the regulatory landscape in USA, Europe, and APAC. Elements of personalisation must be included within the console as well; every business is different.

Hanzo for FINRA 

Our solution works for eDiscovery, compliance, and investigations -- and we’re already helping financial services companies with FINRA concerns. Explore our site or reach out for more information or a demo.



It's time to Graduate from Static with Customer Journey Mapping:

Customer journey mapping is no longer just for marketing teams. How can your compliance team address interactive and dynamic content?