pp-0211
Financial services compliance team needs to archive broker-dealer social media activity for FINRA 2210/4511 and SEC 17a-3/17a-4 — the broker posted a market prediction on LinkedIn that may violate advertising rules, and without a compliant archive the firm can't demonstrate supervisory review to the examiner
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Vendors
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Roles Affected
1
Practice Areas
Who feels this pain
inhouse-enterpriseLegal ops
Practice Areas
compliance
Vendors (1)
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