SEC advises caution on social media as FINRA eases rules

01/6/2012 | InvestmentNews (free registration) · AdvisorOne ·

Investment advisers should regularly assess their social media compliance programs for risk, the Securities and Exchange Commission said in an alert last week. Advisory firms should pay particular attention to usage guidelines, content standards, content approval, training and sufficiency of monitoring. Meanwhile, the Financial Industry Regulatory Authority backed off proposed rules for broker-dealers that would have required filings of social media postings.

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InvestmentNews (free registration) · AdvisorOne ·

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