2 posts tagged with "investment-adviser"

Understanding Information Security

It is clear that cybersecurity is an ongoing and growing concern for the securities industry, and large-scale events are happening daily. Therefore, we will frequently use space to provide different perspectives on the scope of the challenge and include steps that firms may take to better protect their critical information.

New Social Media Guidance

The Financial Industry Regulatory Authority (“FINRA”) recently released additional guidance on the supervision of interactive social media posts by member firms. In Regulatory Notice, 17-18 “Guidance on Social Networking Websites and Business Communications” (“the Notice”), FINRA provides comments in a Q&A format concerning the application of Rule 2210 to certain items it did not address in related, previous notices. FINRA writes that their comments do not replace previous interpretive guidance.