FINRA Regulatory Notice 11–32

Regulatory Notice 11–32 provides questions and answers from FINRA regarding the application of the new rule to assist member firms in the implementation of new FINRA Rule 4530 requirements (as explained in FINRA Regulatory Notice 11–06). In addition, FINRA Regulatory Notice 11–32 provides the definition of tweets and text messages being “written” material.

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:

Summary of the Notice 11–32 from FINRA
The Full PDF of Notice 11–32

Related Industries:

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