FINRA Rule 3170
Also referred to as the "Taping Rule". Requires certain firms to install taping systems to record all telephone conversations between their registered persons and existing and potential customers and also to review those recordings and file reports with FINRA.
Overview
Latest News
Further Reading
Latest News
More on FINRA
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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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On the eve of Valentine’s Day, regulators warn of romance-driven scams
As Valentine’s Day approaches, several US regulators are confronting a costly form of fraud.
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Instinet dinged for surveillance lapses over potential manipulative trading
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
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FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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FINRA outlines recommendations for the use of AI tools
FINRA's Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.
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FINRA disciplinary action update 2026/2
Disciplinary decisions issued January 17 – 23, 2026.
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Guidance Note 1 – FINRA Rule 6730
Late reporting to TRACE.
Further Reading
