Social Media

SEC and FINRA settlements offer the industry lessons learned as they cover a wide landscape of current compliance hot-buttons

The case carries implications for advisers who wish to share their market opinions via social media. 'Your entire audience should be very concerned'

The supervision of firms' social media influencers, generative AI, and the promotion of securities lending programs addressed in new report

FINRA charged B-D for utilizing 400 influencers that posted social media communications that "were not fair and balanced"

FINRA enforcement actions, exam sweep letters, SRO updates on sweeps and prior regulatory notices all serve as resources concerning influencers

The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen

Less than 2% of survey respondents permit the use of personal e-mail for business communications

Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern

The use of financial social media influencers is growing in popularity, which means increased regulator scrutiny

"Artificial intelligence could unleash great potential for investors, including through increased and lower-cost access to personalized investment advice. Innovation in this area is something that ...