Social Media White Paper
by Ara Jabrayan | Sep 18, 2019 | Investment Adviser Representative, Registered Investment Advisers (RIAs), Social Media, Social Media White Paper
For some firms, social media platforms can be successful marketing tools. However, such tools come with important compliance considerations, including compliance with advertising rules, books and records requirements, and related policies and procedures, among others....Recent Posts
- FINRA Enforcement Action Has Implications for Any Adviser Recommending Non-Traditional Exchange-Traded Products
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- SEC Nails 16 Firms for Widespread Recordkeeping Failures Involving Off-Channel Communications
- Corporate Transparency Act May Impact State RIAs and Certain Businesses
- NASAA’s Exam Findings Warn State RIAs About Potential Compliance Pitfalls
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