Important Things To Know Financial Regulation Text Message Archiving Compliance Regulations
                     IMPORTANT THINGS TO KNOW 
FINANCIAL REGULATION TEXT 
MESSAGE ARCHIVING 
COMPLIANCE REGULATIONS
IMPORTANT THINGS TO KNOW FINANCIAL 
REGULATION TEXT MESSAGE ARCHIVING 
COMPLIANCE REGULATIONS
• The process of archiving mobile messages in your any types of business,  when done without the right 
technology, is something that needs a great amount of  organizational time as well as resources. Even though 
archiving mobile messages can be a time-consuming process, it is something that you have to do as a business 
owner because of the various industry as well as government archiving laws. Below, we take a look at some of 
the  financial and government regulations you definitely need to know about the retention of mobile messages.
• The Financial Industry Regulatory Authority (FINRA)  is one of the organizations that sets various 
requirements on the capture, monitoring, as well as archival of broker communications and supervisory review 
process demands.
• So, who must comply with the financial regulation text message archiving regulations? You must comply with 
these regulations if you  are a member of the national securities exchange and transacts a business in securities 
directly with non-members of a national securities exchange, a broker or dealer who transacts a business in 
securities through the medium of any such member, or a broker or dealer registered pursuant to section 15 of 
the Securities Exchange Act of 1934.
IMPORTANT THINGS TO KNOW FINANCIAL 
REGULATION TEXT MESSAGE ARCHIVING 
COMPLIANCE REGULATIONS
• To comply with the financial regulation text message archiving regulations, 
financial institutions as well as securities dealers must meet various 
requirements. They must retain electronic correspondence with customers and 
other relevant communications for period of at least  three years on non-
rewriteable and non-erasable storage. They must also store files on a system that 
prohibits alterations, erasure or loss of files, keep a duplicate copy of each 
record stored in a separate location, and index communications for ease of 
access.
• For more information on financial regulation text message archiving compliance 
regulations, visit our website at https://www.telemessage.com/
IMPORTANT THINGS TO KNOW 
FINANCIAL REGULATION TEXT 
MESSAGE ARCHIVING 
COMPLIANCE REGULATIONS