Archive | Compliance RSS feed for this section

FINRA Delays Webinar on Social Networking Guidelines

I posted back in October that FINRA scheduled a webinar to discuss guidelines when using social networking websites. The webinar was scheduled for December 16, 2009.

I learned today via AdvisorTweets on Twitter that the webinar has been postponed for three months. It now is scheduled for March 17, 2010. One thing that hasn’t changed is the $50 member/$100 non-member registration fee required to attend the event.

Click the image below to connect to FINRA’s website and get the new details.

FINRA Beating SEC on Social Networking Guidelines

Like them or not, FINRA is getting the jump on the SEC over issuing guidelines to registered representatives regarding the use of social networking.

FINRA is offering a compliance webinar on December 16, 2009 to cover “compliance and regulatory considerations when using social networking sites to communicate firm business.”

Why FINRA decided to charge $50 for members and $100 for non-members is beyond me. I would think they would want to make this information free to increase compliance with the guidelines set by FINRA. I digress.

Read More…