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Financial services firms face social media compliance challenges

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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Posted by John B. Frank Wednesday, June 30, 2010

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