The Companion Guide to FINRA/SEC Social Networking Compliance

Companion Guide to FINRA SEC Social Networking Compliance

Today financial firms generally fall in one of two camps when it comes to adopting social networking tools like Facebook, LinkedIn and Twitter. They have either blocked access because of the challenges associated with supervisory and data retention requirements or they've opened the doors to these sites and address compliance issues with highly manual processes.

On January 25, 2010, FINRA released Regulatory Notice 10-06 which provides additional guidance on the use of blogs and social networking sites.

This Companion Guide provides a summary of the key FINRA and SEC rules relevant to social media compliance. In addition, we've shared specific social network considerations and recommendations on how to participate with these networks in a compliant fashion.

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