Regulation

Compliance Brief: Analyzing FINRA’s Regulatory Notice 11-39

September 15, 2011 by Amy McIlwain

a new set of rules, but rather acts as an addendum to Notice 10-06) Recordkeeping. The obligations of a firm to keep records of communications made through social media depend on whether the content of the communication constitutes a business communication. The key to this statement is ensuring that every firm determines what is and […]

Filed Under: YouTube Tagged With: Business communication, Financial Industry Regulatory Authority, IPad, linkedin, Regulation, RSS, social media, Social network service

5 Must-Haves to Look for from your Social Media Archiving Provider

June 28, 2011 by ByAllAccounts

Today, with more and more firms evaluating and entering into social media, it stands to reason that FINRA & SEC rules governing social media and archiving solutions will play a bigger role in the professional lives of Financial Advisors and Advisors. In fact, you may be feeling enormous pressure right now to begin leveraging social […]

Filed Under: YouTube Tagged With: Archive, Financial adviser, Financial Industry Regulatory Authority, linkedin, Regulation, SEC Rule 17a-4, social media, Solution