Regulatory Notice 10-06 – Compliance Building

More from FINRA on Social Media and Mobile Devices

Doug Cornelius August 29, 2011August 25, 2011 Publish to KM Space, Social Networking and Web 2.0 1

In January 2010, FINRA issued Regulatory Notice 10-06 in an attempt to provide guidance on the application of FINRA rules governing communications with the public to social media sites. The guidance did not provide much that was new. Largely, FINRA pointed out that the existing communication and record-keeping rules applied. Too bad that the site … Read more »

Implementing Compliance Practices for Social Media

Doug Cornelius March 17, 2010October 8, 2010 Conference Notes, Social Networking and Web 2.0 3

I was in the audience for FINRA’s latest educational Program: Implementing Compliance Practices for Social Media. This program addressed implementation of new guidance that FINRA recently issued in Regulatory Notice 10-06, concerning social media. Resources and Supplementary Material (.pdf) Slide deck (.pdf) These are my notes, live from the program (& riddled with typos): Introduction … Read more »

FINRA Issues Guidance on Social Networking Sites

Doug Cornelius January 26, 2010January 25, 2010 Social Networking and Web 2.0 10

Securities firms and brokers have been looking for guidance on how they can use social networking sites. Actually most industries have been trying to figure out what they can and cannot do with these sites. The difference is that the FINRA limitations on communicating with the public make it very difficult to use the sites … Read more »