Transcription of Regulatory Notice 17-18 - finra.org
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Regulatory Notice 17-18 - finra.org
Regulatory Notice 17-18 . Social Media and Digital April 2017. Communications Notice Type Guidance on Social Networking Websites and 00 Guidance Business Communications Suggested Routing 00 Advertising Summary 00 Compliance 00 Legal This Notice provides guidance regarding the application of finra rules governing communications with the public to digital communications, 00 Marketing in light of emerging technologies and communications innovations. 00 Operations 00 Registered Representatives Questions concerning this Notice may be directed to: 00 Senior Management 00 Joseph E. Price, Senior Vice President, Advertising Regulation/Corporate Financing, at (240) 386-4623, Key Topics 00 Thomas A. Pappas, Vice President, Advertising Regulation, 00 Business Communications at (240) 386-4553, or 00 Communications with the Public 00 Amy C. Sochard, Senior Director, Advertising Regulation, 00 Digital Communications at (240) 386-4508, 00 Native Advertising 00 Recordkeeping Background 00 Social Media Previously, finra issued Regulatory Notice 10-06 and Regulatory Notice 00 Supervision 11-39 to provide guidance on the application of finra rules governing communications with the public to social media sites and the use of personal Referenced Rules and Notices devices for business communications.
There are exceptions. Regulatory Notice 10-06 states that third-party posts on a firm or associated person’s business website may constitute communications with the public by the firm or an associated person under Rule 2210 if the firm or an associated person has
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