In-Network Mobile recording

In-Network Mobile recording

Regulatory notice 07-59: Supervision of electronic communications

Types of electronic communications requiring review: 

  • External communications
    • Message boards – members may consider blocking access by their employees to message boards to prevent them from communicating through these boards for business purposes
    • E-faxes – FINRA views E-faxes as electronic communications and thus
    • Non-member email platforms – if employees communicate through means other than their member-issued email address by accessing email platforms through the Internet (g., through AOL or Yahoo mail) and through third-party communication systems such as Bloomberg and Reuters, the member is required to supervise and retain those communications.
  • Internal communications – Members may decide, employing risk-based principles, the extent to which review of any internal communications is necessary in accordance with the supervision of their business.

Useful links

Regulatory notice 07-59: Supervision of electronic communications

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