The Companion Guide to FINRA/SEC Social Networking Compliance

The Companion Guide to FINRA/SEC Social Networking Compliance

This Companion Guide provides a summary of the key FINRA and SEC rules (including FINRA Regulatory Notice 10–06 and 11–39) 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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