Electronic Communications, Financial Industry Regulatory Authority (FINRA), Financial Services Industry

DSIR Deeper Dive: Information Governance - Communication Retention Challenges and a Return-to-Office Reaction

BakerHostetler on 6/18/2025

Let’s say, once upon a time, you worked from home during the pandemic. If so, did you use a variety of communication methods (perhaps switching among different platforms, never sure which camera or microphone would be...more

Regulators Hit Jackpot: Off-Channel Communications

Carlton Fields on 9/29/2023

Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about problematic record-keeping practices involving the use of...more

The Pros and Cons of Using APIs for Web Archiving

Hanzo on 5/6/2019

If you’re a regular reader of Hanzo, we’ve probably already convinced you that you need to be archiving any social media profiles that your organization maintains, along with your website. Chances are you’ve heard us talk...more

WARC and WORM Digital Storage: Web Archiving Essentials

Hanzo on 4/25/2019

WARCs? WORMs? Is this a lost installment of the Lord of the Rings? Unfortunately, no. Rather, WARC and WORM are abbreviations that you should be familiar with if you’re maintaining digital archives for regulatory compliance,...more

FINRA Regulatory Requirements for Archiving, Recordkeeping, and Supervision in 2019

Hanzo on 3/14/2019

The Financial Industry Regulatory Authority's (FINRA) constantly updated record of disciplinary actions contains a mixed bag of run-of-the-mill infractions, unethical behavior, and large-scale corporate misconduct and...more

Hanzo's 2018 FINRA AND SEC Regulatory Compliance Year in Review

Hanzo on 1/17/2019

From Elon Musk’s tweets to Floyd Mayweather and DJ Khaled’s promotion of cryptocurrencies, 2018 was, to say the least, an interesting year in regulatory enforcement news. Even if all you do is win, win, win, no matter what,...more