BD- Electronic Communications Policy Disclosure Statement

The Broker-Dealer Electronic Communications Policy Disclosure Statement is typically used as part of a broker-dealer’s periodic compliance certification process with its registered and associated personnel.  As the obligations to supervise electronic communications are based largely on the content and audience of the message rather than the electronic form of the communication, the Electronic Communications Policy Disclosure Statement is designed to communicate a broker-dealer’s set of policies regarding the use of electronic communications as well as obtain certification of compliance with respect to such policies in accordance with FINRA rules and supporting regulatory notices.

Version/Update: V.2/May 28, 2018

Total Page Count: 1

Source/Author(s): Connexien