Marcia Savage, Site Editor
Brokerages and other financial services firms turning to sites like Facebook and Twitter for marketing and customer outreach face a number of thorny social media compliance issues. Earlier this year, the Financial Industry Regulatory Authority (FINRA), which oversees U.S. securities firms, released Regulatory Notice 10-06. The notice provides guidance on how FINRA rules governing public communications apply to use of social media sites by financial firms and their employees for business purposes.
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