FINRA Issues Guidance On Use of Social Media

August 31, 2011

FINRA issued Regulatory Notice 11-39 to clarify the application of rules governing communications with the public to social media sites.  The Notice reminds firms of the recordkeeping, suitability, supervision and content requirements for such communications.  These concerns were initially addressed in Regulatory Notice 10-06 issued in January 2010. FINRA noted that Regulatory Notice 11-39 is not intended to alter the principles or the guidance provided in Regulatory Notice 10-06.

Please click here to access Regulatory Notice 11-39.

Please click here to access Regulatory Notice 10-06.


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Investment Advisers, Regulatory