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:
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