FINRA Regulatory Notice 10-06

Americans are increasingly using social media Web sites, such as blogs and social networking sites, for business and personal communications. Firms have asked FINRA staff how the FINRA rules governing communications with the public apply to social media sites that are sponsored by a firm or its registered representatives. This Notice provides guidance on blogs and social networking websites to firms regarding these issues.

Helpful Links:
Documentation from FINRA for Regulatory Notice 10-06
The Companion Guide to FINRA/SEC Social Networking Compliance

Related Industries:

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.