Web1 hour ago · (CNN) - As Texas Gov. Greg Abbott seeks to pardon convicted murder Daniel Perry, newly unsealed documents from the case show Perry being racist on social media. According to the Houston Chronicle ... WebSep 16, 2024 · William Galvin, Massachusetts’ top securities regulator, on Thursday ordered MML Investors Services LLC, a subsidiary of MassMutual, to overhaul its social media …
Phishing Scams on the Rise: FINRA ThinkAdvisor
http://blog.pagefreezer.com/website-social-media-archiving-comply-finra-books-records-rule WebFINRA’s Regulatory Notices 10-06, 11-39, and 17-18 build on Rule 2210, clarifying what kinds of communications firms need to archive from both their websites and social media channels. These include any communication with the public related to the business, any content relating to a firm's products, services, and more, and any conversations ... methodology agile vs waterfall
Keeping Up with FINRA & SEC Compliance Trends - FEI
WebSep 17, 2024 · With FINRA and the SEC being forced to adapt to broadening channels of communications, firms and advisors need to re-examine their own communications governance policies to avoid heavy fines and sanctions. In a regulatory first, the SEC recently fined a pair of roboadvisors $250,000 for not preserving copies of their tweets … WebMar 22, 2024 · In case of non-compliance, the monetary fines range from $1,000 to over $140,000. At the same time, non-monetary penalties include the suspension or expulsion of the responsible individual and/or the company, depending on the nature of the breach and the aggravating factors. Mobile and Social Media Archiving and SEC 17a-4 WebJun 12, 2013 · Investors and financial services professionals alike are increasingly using social media for a variety of business purposes. Social Media may be a new medium, but FINRA's rules on communicating with the public are still applicable. The rules protect … methodology and computing in applied