By:
On:
In: *Connecting the Dots Blog*, Human Resources, Incident Reporting, Information Security

  Did you see the FINRA news release last week announcing guidance for securities firms and brokers regarding the use of social networking sites like Facebook, Twitter, LinkedIn and blogs to communicate with their investors? Securities firms and brokers are now required to develop their own customized policies and procedures to ensure all personnel are complying with regulatory requirements when using social networking sites and that their online recommendations are suitable and not misleading to investors.  Firms and brokers must have a general policy prohibiting any associated person from engaging in business communications in a social media site that is not subject to the firm’sRead More →