Don’t Be the Next Headline: Prevent FINRA Fines for Text Messaging
TL;DR: FINRA fines for missed text message capture are hitting firms hard. Employees will text whether you allow it or not. SnippetSentry ensures every message is automatically archived, so you stay audit-ready and avoid costly penalties.
How to Avoid FINRA Fines for Text Messaging
Over the past few years, FINRA has made one thing very clear: if your employees are texting about business, those messages must be captured and archived.
Firms that ignore this reality or think they can “trust” employees not to use text are paying the price. FINRA fines for text messaging violations have reached millions of dollars, with firms facing not only penalties but reputational damage.
So how do you avoid becoming the next headline? That’s where SnippetSentry comes in.
Why Firms Get Fined
- Failure to Capture Business Texts
Employees text because it’s fast, convenient, and what clients prefer. But if those messages aren’t retained, it’s a violation. - Inconsistent Monitoring
Some firms try partial solutions or manual workarounds, but FINRA requires full and consistent capture across all users and devices. - Assuming “Block and Ban” Works
Telling employees not to text doesn’t stop them, it just means you’re blind to it. FINRA doesn’t accept ignorance as a defense.
How SnippetSentry Protects You
Complete Capture
Every iMessage, SMS, RCS, MMS and WhatsApp communication is automatically captured and archived in the background. Nothing slips through the cracks.
Audit-Ready Records
Messages are sent securely to your choice archiver so that compliance teams can retrieve them instantly when regulators ask.
Low Lift for IT
Setup is simple and scales from small firms to global enterprises. No rebuilding infrastructure, no endless support tickets.
Employees Keep Working Normally
Texting continues as usual. SnippetSentry quietly does the work behind the scenes.
The Risk of Waiting
FINRA fines aren’t slowing down. Enforcement is only increasing, and regulators are paying attention to firms of every size.
Proactive firms that adopt capture solutions now avoid penalties, protect client trust, and reduce compliance stress. Waiting only increases the risk.
The Bottom Line
Avoiding FINRA fines for text messaging isn’t about luck, it’s about preparation. SnippetSentry ensures every message is captured, every regulation is met, and every audit request can be answered with confidence.
With SnippetSentry, you can move forward knowing compliance is handled, IT isn’t overloaded, and employees keep working the way they already do.
