FINRA
The Financial Industry Regulatory Authority, a non-governmental self-regulatory organization responsible for overseeing U.S. broker-dealers and trading markets. It imposes strict requirements on the immutability of financial records and audit trails.
Timeline (last 90 days)
The suitability obligation originates from US FINRA Rule 2111, requiring broker-dealers to ensure, when recommending financial products, that the products match the client's investment objectives, risk tolerance, financial situation and investment experience.
FINRA's regulatory authority derives from congressional authorization and is overseen by the SEC, forming an authorized self-regulatory framework.
美国金融业监管局（FINRA）要求金融机构保留所有业务相关通信记录至少3年
FINRA要求金融机构保留所有业务相关通信记录至少3年
FINRA要求金融机构保留所有业务相关通信记录至少3年，HIPAA要求医疗相关数据的完整审计跟踪保存至少6年
All Facts (5)
The suitability obligation originates from US FINRA Rule 2111, requiring broker-dealers to ensure, when recommending financial products, that the products match the client's investment objectives, risk tolerance, financial situation and investment experience.
50%UnverifiedFINRA's regulatory authority derives from congressional authorization and is overseen by the SEC, forming an authorized self-regulatory framework.
50%Unverified美国金融业监管局（FINRA）要求金融机构保留所有业务相关通信记录至少3年
50%UnverifiedFINRA要求金融机构保留所有业务相关通信记录至少3年
50%UnverifiedFINRA要求金融机构保留所有业务相关通信记录至少3年，HIPAA要求医疗相关数据的完整审计跟踪保存至少6年
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