FINRA Warns Brokers on Social Media and Digital Communications

Stockbroker Law - Tuesday, May 16, 2017
FINRA Warns Brokers on Social Media and Digital Communications

In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons when utilizing social media and digital communications. The Regulatory Notice contains comprehensive recordkeeping advice for digital communication content, also issuing warnings and guidance regarding third party posts and hyperlinks to third party sites.

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