Hi all, and with apologies for cross-posting. FINRA has issued guidance for
the use of social media by securities firms and brokers. Key quote from the
blog post below: "Social networking sites and blogs raise new regulatory
challenges, particularly in the areas of supervision, advertising and books
and records requirements," said FINRA Chairman and CEO Rick Ketchum. "Our
goal in issuing this notice is to ensure that firms and brokers use social
networking sites in an appropriate manner."

 

http://mikeg.typepad.com/perceptions/2010/01/finra-and-social-media.html

 

or http://is.gd/75n3H.

 

I will  review the actual guidance and blog about it later today; you can
find that guidance at 

 

http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/
p120779.pdf

 

or  http://is.gd/75nvT. (PDF)

 

Respectfully submitted on behalf of myself and no other company,
organization, association, entity, or board of directors,

 

Jesse Wilkins, CRM, CDIA+, ecmm, emmm, ermm

[log in to unmask] 

(303) 574-0749 direct

Twitter: http://www.twitter.com/jessewilkins 

 


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