...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...

...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...

... required cautionary statements and legends to the securities marketplace via social media technology platforms whose space limitations preclude display of the full text of the required statements. Design/methodology/approach – Examines the new SEC staff interpretative guidance in light of the tension...

... media channels. Design/methodology/approach – The paper explains the background of the SEC's investigation of Netflix and its CEO, Regulation FD and the 2008 Guidance, applies the principles of Regulation FD and the 2008 Guidance to social media disclosures by public companies, and recommends...

...Keith T. Robinson; Joseph P. Kelly, II; Andrea E. Baron Purpose The purpose of this paper is to discuss the implications of an SEC Risk Alert and two FINRA regulatory notices concerning the use of social media by registered investment advisers. Design/methodology/approach The paper analyzes...

... to the Downgrade of US Long‐term Credit Rating by Standard & Poor's; Notice 11‐39, August 2011, Social Media Websites and the Use of Personal Devices for Business Communications: Guidance on Social Networking Websites and Business Communications; and selected FINRA disciplinary actions in July and August 2011...