This course will address the role of social media in the securities industry workplace and the regulatory response to it. For purposes of presentation the material is divided into two lessons:
- Lesson 1 - Regulation of Communication in the Securities Industry
- Lesson 2 - Social Media and Communication
Upon completing this course, you should have an understanding of (i) the policies and principles involved in the regulation of communication in the securities industry, (ii) the evolution of those policies to deal with electronic communications and the Internet, and (iii) the further extension of those policies to regulation of the use of social media in the securities industry.
After completing this course, you should be able to:
- Describe the regulatory framework for the regulation of communications in the securities industry.
- Describe the regulation of electronic communications in particular.
- Describe the different types of social media currently in use.
- Explain current regulatory position of FINRA as set forth in Regulatory Notice 10-06.
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