Purpose To summarize recent FINRA guidance on social media and digital communications published in Regulatory Notice 17-18. Design/methodology/approach The intention was to provide a brief summary of the recent FINRA guidance on social media and digital communications published in Regulatory...

Purpose In April 2017, FINRA issued a regulatory notice addressing the use of social media and digital communications by broker-dealers. The notice expanded on previous FINRA guidance on these topics. This article provides clarity regarding how social media and digital communications fit within...