Innovations in the area of electronic communications over the last few decades have altered how people communicate with each other. These innovations have brought, and continue to bring, new challenges to FINRA members in the establishment of supervisory systems and procedures for electronic communications that are reasonably designed to achieve compliance with applicable federal securities laws and self regulatory organization (SRO) rules.
FINRA has issued some guidance for members to consider when developing internal systems and procedures. While FINRA recognizes that policies and procedures may differ among members depending on their business model, affirmative actions are required to meet regulatory requirements.
At the conclusion of this course, you will be able to:
- Describe the FINRA regulations that address electronic communications.
- Outline the information firms should provide to their employees.
- List the different categories of electronic communications with the public.
- Summarize FINRA Rule 2010, NASD Rule 2210, NASD Rule 3110, NASD Rule 2010, and NASD Rule 2310.
- Describe the various compliance issues surrounding email and instant messaging, internet communication, social networking sites and chat rooms, and blogs and bulletin boards.
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