The Content Conundrum for FINRA-Regulated Firms

Static or interactive? Business or personal? Pre-review or post-review?

It can get confusing for compliance teams trying to adhere to FINRA regulations regarding review of content shared on social media. To help out, we've created a simple infographic to help you understand content review expectations from FINRA, as outlined by Notice 10-06, Notice 11-39, and Notice 12-29.

For more information breaking down these FINRA Notices as well as other recent regulation, you can find relevant content here:

Guides:

The Companion Guide to FINRA 10-06

Updates Since FINRA 11-39

Blog posts:

FINRA Notice 11-39 Highlights

SEC Approves FINRA Rule Changes

Download the PDF!