MailBanc | Compliance

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Law, Rule, Regulation	Citations	Applies to
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934	SEC Rules 17a-3 and 17a-4	Broker-Dealers
Federal Rules of Civil Procedure	FRCP 26(a) has been amended to clarify that parties are obliged early in litigation to divulge the existence of and describe relevant electronic records. FRCP 16(b) requires parties to hold a conference early in the trial process that includes discussion of e-records and planning for discovery of e-records. FRCP 26(b)(2) relevant, readily accessible e-records are discoverable, whereas, non-readily accessible records are presumed not to be discoverable, however, to overcome the presumption the opposing party might easily show evidence that the records are relevant or that they are accessible without undue expense.	Any party to litigation under Federal Rules
Gramm-Leach-Bliley Act		Investment Advisers Broker-Dealers Mutual Funds Banks Other "financial institutions"
Sarbanes-Oxley Act		Publicly-traded Companies
FINRA Rules	Rule 2210: Communications with the Public Rule 3010: Supervision of Sales Activities Notice to Members 03-33: Supervisory Obligations and Recordkeeping Requirements for Instant Messaging	Broker-Dealers


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