BD- Broker-Dealer Email Review Summary Report

The Broker-Dealer Email Review Summary Report is a useful tool for assisting broker-dealers in evidencing their review of correspondence and internal communications relating to their investment banking or securities business in accordance with FINRA Rule 3110(b)(4) (Review of Correspondence and Internal Communications) and Supplemental Material .07 (Evidence of Review of Correspondence and Internal Communications).  The customizable Report includes areas for firms to evidence their review period, email archiving vendor type, testing type and sampling methodology, results and follow-up supervisory review & approval.

Version/Update: V.3-07072023

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien