Sacks, Russell; Morton, Jennifer; Jordan, Jenny; Blau, … - In: Journal of Investment Compliance 18 (2017) 4, pp. 40-44
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 clarity regarding how social media and digital communications fit within...
