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FINRA Compliance for Podcasts: Review, Archiving, and Retention

FINRA Compliance for Podcasts: Review, Archiving, and Retention

If your firm publishes a podcast or recorded video series, that content is subject to the same FINRA compliance obligations as a printed advertisement. Many firms handling email archiving and off-channel messaging still have no documented workflow for audio and video. This guide covers what the rules actually require for FINRA compliance for podcasts, how […]