Compliance
What is Books and Records (Recordkeeping)?
Books and records requirements are the rules that require financial firms to retain records of their business — including advertisements and marketing communications — for specified periods.
Under the Investment Advisers Act (for RIAs) and FINRA rules (for broker-dealers), firms must keep records of the marketing they publish and, in many cases, the basis for the claims they make. Regulators can request these during an examination.
For content, this means every episode, article, and promotional post is a record that must be preserved, typically for several years. Building archiving into the publishing workflow — rather than reconstructing it later — is what keeps a content program both fast and compliant.
This is general information, not legal or compliance advice; retention periods and specifics vary by firm type and regulation.
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