Broker-Dealers Use of Social Media | Practical Law

Broker-Dealers Use of Social Media | Practical Law

This Practice Note discusses how the FINRA rules on communications with the public apply to the use of social media sites by broker-dealers and their associated persons, including key FINRA guidance in this area, supervisory requirements for the use of these sites and SEC recordkeeping requirements for communications posted on social media sites.

Broker-Dealers Use of Social Media

Practical Law Practice Note w-000-6136 (Approx. 13 pages)

Broker-Dealers Use of Social Media

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Practice Note discusses how the FINRA rules on communications with the public apply to the use of social media sites by broker-dealers and their associated persons, including key FINRA guidance in this area, supervisory requirements for the use of these sites and SEC recordkeeping requirements for communications posted on social media sites.