FINRA

Feature Article

COMPLIANCE

Financial Services, Social Networking, and FINRA

Last month FINRA (Financial Industry Regulatory Authority) issued Regulatory Notice 11-39 to provide “guidance on social networking Web sites and business communications” for financial firms and brokers.

Published September 14, 2011

Electronic Communications Compliance Gaps Found in Financial Services Industry, Especially for Social Media, Mobile

by Stephanie Jordan

At FINRA’s 2011 Annual Conference this week, new survey results of compliance professionals in the financial services industry found extensive compliance gaps exist in electronic recordkeeping and...

Social Media Compliance

by Stephanie Jordan

The popularity of social media and the demands it places on IT organizations can be looked at from a variety of angles: bandwidth, productivity, security, etc. But don’t forget to also think about...

Archiving Challenges and Priorities: Apply Lessons Learned from a Regulated Industry

by Stephen Marsh -- Founder and CEO; Smarsh Inc.

Compliance with SEC and FINRA electronic communication mandates has driven significant growth in the message archiving market, and the sophisticated needs of this audience have, in turn, accelerated...