WebMay 16, 2024 · FINRA’s premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more. … WebJun 16, 2024 · In an effort to answer some of these questions, Amy Sochard, Senior Director, FINRA Advertising Regulation, recently moderated a conversation about social media at the 2024 FINRA Annual Conference ...
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WebA retail communication must be approved before the earlier of its first use or its filing with the FINRA Advertising Regulation Department (the “Department”).2 An appropriately … WebCONFERENCE . Mutual Fund Advertising Regulation . David R. McCandless . ... NASD/FINRA Rules FINRA Advertising Review Rules General FINRA Standards – Rule 2210 ... June 2013 Re: Spot-Check of Social Media Communications FINRA Regulatory Notice 11-39 (Aug. 2011) – how to measure for fitted sheets
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WebMay 10, 2024 · FINRA makes it clear that firms must archive all electronic communications, including content from social media, text messaging, and other mobile platforms. In response to the guidance, firms should review their social media and mobile policies and procedures. Specify the difference between personal communications and business … WebOct 16, 2014 · After all, FINRA created a Social Media Task Force consisting of firms from the industry in back in 2009. Based that that feedback, FINRA was the first regulator to issue Social Media Guidance in ... WebGiven FINRA’s 2024 priorities announced back in January and continuous crackdown on encrypted apps, it’s no surprise that the Digital Communications and Social Media … multicolor zinnia wind spinner