How Actiance Addresses FINRA Regulations Pertinent to Social Media

How Actiance Addresses FINRA Regulatory Notice 10-06 Requirements

Need clarity on how the FINRA 10-06 guidelines affect your social media strategies?

So far this year, we’ve tracked 528 changes made by Facebook, LinkedIn and Twitter - changes that potentially impact the way in which your organization needs to manage policy to meet FINRA 10-06 guidelines. We've put together a useful compliance guide in the form of a matrix which maps specific social network features against each of the key FINRA requirements. For instance, per Regulatory Notice 10-06, our recommendation is to block Facebook "Like" as it can be considered an endorsement in the eyes of FINRA. Similar recommendations are listed in detail for each of the three main key social networks - Facebook, LinkedIn and Twitter.

This matrix will:

  • Review the key FINRA regulations pertinent to social media;
  • List the salient Facebook, LinkedIn, and Twitter features impacted by the FINRA regulations and our recommendations for compliance;
  • Discuss how you can manage the impact of the new changes introduced by the social networks for compliance and automate some of the processes involved, for instance, pre-approving static content on LinkedIn;

Complete and submit the form to the right and a copy of this white paper will be sent to the email address provided.