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Socially Aware Blog The Law and Business of Social Media

Tag Archives: FINRA

Use of Social Media for Issuers, Broker-Dealers and Advisers, and Investment Companies

By Jay Baris, Anna Pinedo and David M. Lynn on Posted in Event

Readers in the New York area, please join us for a complimentary, in-person event on Tuesday, May 28. Recently, regulators provided some additional guidance regarding the use of social media channels to disseminate issuer information. FINRA and the Commission also have been focused on the use of social media by registered broker-dealers, and by investment… Continue Reading

California Provides Social Media Guidance for Financial Institutions

By Heidi Johanns and Julie O'Neill on Posted in Financial Institutions

While Facebook, Twitter, LinkedIn and other social media platforms have become an increasingly important tool for businesses across industries to meet their customers’ needs and expectations, financial institutions have been slow to embrace social media.  This is likely attributable to the highly regulated environment in which financial institutions operate, the unique risks associated with operating… Continue Reading

Updated FINRA Guidance on Social Media Websites and the Use of Personal Devices

By Hashem Sabbagh on Posted in Securities Law

On August 18, 2011, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 11-39 providing guidance to broker-dealer members on social networking websites and business communications.  The notice represents FINRA’s first update to its guidance on social media since the release of Regulatory Notice 10-06 in January 2010. Regulatory Notice 11-39 merely clarifies existing… Continue Reading