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Financial Industry Regulatory Authority (FINRA) Social Networks

Goodwin

FINRA Provides Update on Social Media Influencers, Customer Acquisition and Related Information Protection

Goodwin on

In February, FINRA provided an update (Update) concerning the targeted exam (Sweep) launched in September 2021 to review firms’ practices concerning customer acquisition through social media channels and the way firms share...more

Goodwin

FINRA 2022 Exam Report Spotlight: Communications with the Public

Goodwin on

It came as no surprise that FINRA’s 2022 Examination and Risk Monitoring Program Report highlighted communications with the public as a continued area of focus. The primary theme across this focus area relates to the...more

BCLP

SEC Chair Directs Staff to Consider New Rules to Manage Risks Highlighted by Game-Like Trading Apps

BCLP on

SEC Chair Gary Gensler testified yesterday before the House Committee on Financial Services about the SEC’s efforts to assess and address the market volatility that occurred in GameStop and other “meme stocks” resulting in...more

Baker Donelson

Social Media Compliance Policies: Your Company Needs One

Baker Donelson on

Use of social media is ubiquitous in today's society. This is astounding when you think back to 2004 and realize that social media did not exist then. Fast forward ten years and by September 2014, 58% of all American adults...more

Burr & Forman

Scam Spammers Use IM Apps to Pump & Dump

Burr & Forman on

In a September 2 Alert, FINRA warns that scammers are using messaging app spam-casts to impersonate brokers and tout micro-cap stocks to “pump” their prices, before “dumping” their positions at the top and leaving investors...more

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