10 Steps To A FINRA-Compliant Social Media Policy

Law360, New York (December 12, 2014, 9:55 AM EST) -- On Oct. 14, 2014, the Financial Industry Regulatory Authority fined a securities analyst $15,000 for "tweeting" opinions about securities without revealing that he owned them. The action — one of roughly 10 involving social media postings over the past several years — highlights the need for research analysts, brokers and others in the securities industry to implement appropriate policies and procedures for the use of social media networks and any communications to be made available thereon.[1]

According to FINRA, the registered analyst's twitter posts dating between 2009 and 2011 violated National Association of Securities Dealers Rules 2711(h)(1)(A) and 2210(d)(1)(A), FINRA Rule 2010, and...

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