FINRA Guide to the Web for Registered Representatives

The Financial Industry Regulatory Authority (FINRA) has a page on their website to make registered representatives aware of the potential liabilities and compliance requirements when using electronic communications and the Web for business purposes. Specific considerations for electronic communication include email, instant messaging and websites including social networking sites, blogs, bulletin boards and personal devices.

The resource includes information on published rules as well as a link to the actual text of the rule or interpretation when possible.

Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

Helpful Links:
Guide to the Web for Registered Representatives

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