Regulatory Alerts2024-07-30 | Regulatory Notice 24-10Added · Updated
FINRA Reminds Members of its Policy Prohibiting Members From Recording FINRA Calls and Meetings
FINRA reminds members and their associated persons that they are prohibited from making audio or video recordings of conversations with FINRA staff during calls or meetings related to oversight functions, including exams and investigations. This prohibition extends to the use of technologies such as artificial intelligence or virtual meeting applications that enable automated capture of content. FINRA considers such recordings inconsistent with Rule 2010 and notes that express permission is rarely granted.
Topics
Share