Showing all posts by Suman Garhwal

FINRA NOTICE 11-39: INTERPRETING THE NEW U.S. SOCIAL MEDIA GUIDELINES FOR SECURITIES FIRMS

Posted by & filed under Capital Markets, Regulations, Social Media, Solutions: Compliance, Solutions: Trading.

By Suman Garhwal, Vice President – Business Integration, SunGard Protegent In mid August, FINRA issued a much awaited follow up to its notice 10-06 regarding securities firms use of social media. This guidance was issued in the form of notice 11-39 (FINRA Notice 11-39) which is an effort to provide additional direction on how firms [...]