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Keywords: Digital communications
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 40–44.
Published: 06 November 2017
...Russell Sacks; Jennifer Morton; Jenny Jordan; Steven Blau; Sean Kelly Purpose In April 2017, FINRA issued a regulatory notice addressing the use of social media and digital communications by broker-dealers. The notice expanded on previous FINRA guidance on these topics. This article provides...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (3): 48–51.
Published: 04 September 2017
...Matthew T. Wirig; Kate S. Poorbaugh Purpose To summarize recent FINRA guidance on social media and digital communications published in Regulatory Notice 17-18. Design/methodology/approach The intention was to provide a brief summary of the recent FINRA guidance on social media and digital...
