Notices 10-06 & 11-39
Business communications on social media are subject to recordkeeping and supervision principles — including static profiles, interactive posts and business use of personal devices.
Financial services · FINRA + SEC
Let advisors engage. Keep every business record.
Social media can build client confidence and create regulated communications at the same time. Brolly captures the whole conversation — posts, comments, edits and deletions — so compliance can supervise it and produce a defensible record when asked.
For broker-dealers · RIAs · banks · insurers
Continuous captureConnected business accounts
Review trailSupervision actions recorded
Integrity evidenceMetadata + digital checksums
Request-readyPDF · CSV · HTML · JSON
Read the film transcript
Your firm engages clients and prospects across social media every day. In financial services, business posts, comments and direct messages may be communications your firm is required to capture and retain. Think a screenshot will hold up in an audit? Unfortunately, no. Posts get edited, comments get deleted, and gaps in your records become gaps in your defense. And incomplete records mean regulatory findings, fines, and reputational risk you can't afford. Brolly is social media archiving built for banks, insurers and regulated firms. Every record is captured in real time, with digital signatures, time-stamping and full version history. Tamper-evident, and defensible. Supervise with keyword monitoring, powerful search, and one-click export, so you respond to any audit or request in minutes. It's secure, certified to ISO 27001, with data privacy you and your regulators can trust. Stay compliant. Stay audit-ready. Brolly for financial services.
The regulatory reality
Three obligations. One social channel.
FINRA and SEC rules shape recordkeeping and supervision. GLBA shapes how covered customer information must be protected.
Rule 17a-4
Broker-dealers must preserve required business communications and be able to produce them promptly. A reviewable record needs more than an editable folder of screenshots.
Safeguards Rule
Covered financial institutions must maintain an information-security program designed to protect customer information. Public-channel workflows need controls that reduce exposure without confusing privacy safeguards with books-and-records duties.
Two jobs. One record.
Client engagement and compliance should not compete.
Let the people closest to the client communicate. Give the people accountable for the record everything they need to supervise it.
For advisors & producers
Engage clients with confidence.
Connected business accounts are captured in the background. Advisors keep moving while the record keeps pace.
For compliance teams
See the whole conversation.
Review originals, edits, deletions, context and supervision history from one complete chronology.
From post to proof
One connected path from capture to production.
The film shows the moment. This is the operating model behind it.
Collect the whole conversation
Posts, comments, media, metadata, edits and deletions are retained from connected business accounts.
Review in context
Flag policy-relevant language and record each review action against the communication it belongs to.
Show what changed
Use timestamps, version history and digital checksums to support the integrity of the record.
Prepare the response
Search once and export a chronological package in PDF, CSV, HTML or JSON.
Supervision without the scramble
Compliance sees the risk. Advisors keep moving.
Brolly runs behind connected business accounts, preserving supported activity while your team works. Reviewers can search the captured chronology instead of chasing screenshots across devices and inboxes.
- Ongoing capture of supported activity from connected accounts
- Keyword monitoring for policy-relevant language
- Review actions linked to the underlying record
NW
Northstar Wealth Advisors@northstarwealth · connected business account
LinkedInMarkets move, but your long-term plan should stay anchored to your goals. Read our latest retirement-income briefing.
The connected post, media and available metadata were captured together at 09:14 ET.
Examination-ready
Find the communication. Prepare the record.
When the request arrives, run the search, review the chronology and export the package. Metadata and digital checksums help answer authenticity questions before they become a second project.
- PDF, CSV, HTML & JSON records packages
- Version history for originals, edits and deletions
- Retention settings matched to your books-and-records schedule
Search: retirement-income briefing · Jan 1–Mar 31
Markets move, but your long-term plan should stay anchored to your goals.
- CommunicationHTML + PDF
- MetadataCSV + JSON
- Versions3 captured
- Review actionsIncluded
Integrity evidence
SHA-256 · 7e91…4bf2One selected communication, its captured versions, metadata and linked review history—assembled for authorized production.
Security is part of the evidence
A defensible record needs a trustworthy path.
Brolly is ISO/IEC 27001:2022 certified and CSA STAR registered. Access controls, encryption and integrity evidence protect the record from capture through production.
ISO/IEC 27001:2022CSA STARAES-256 at restTLS 1.2+MFA + role-based access
Straight answers for compliance teams
Asked by CCOs and their auditors.
Do FINRA rules really cover social media?
Yes. FINRA Regulatory Notices 10-06 and 11-39 make clear that business communications through social media are subject to the same recordkeeping, suitability and supervision principles as any other channel — including static profiles and interactive posts.
What does SEC Rule 17a-4 require?
Broker-dealers must preserve required business communications for mandated periods in a format that protects records from alteration and must be able to produce them promptly. An editable folder of screenshots does not provide the chronology and integrity evidence a firm may need.
Can advisors keep their own social accounts?
Advisor and producer accounts used for business are exactly where the risk lives. Brolly captures connected business accounts continuously, so compliance sees the record without standing between advisors and their clients.
How does Brolly help with supervision reviews?
Keyword monitoring flags policy-relevant language, and reviewers work from the captured chronology — original text, supported edits, deletion events and context — with an audit trail of review actions.
What about examinations and audits?
Export complete, chronological records packages in PDF, CSV, HTML or JSON — with metadata and digital checksums that help answer authenticity questions before they are asked.
Let advisors post. Keep every record.
Bring one real supervision or examination scenario. We will show you how Brolly captures, reviews and produces the record.