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Friending, Tweeting, and Connecting: Regulatory and Enforcement Issues Facing Broker-Dealers and Investment Advisors in a Social Media World

Wednesday, February 12, 2014 12:30 PM to 1:30 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


As a broker-dealer, registered representative, or registered investment advisor using social media, what are your direct and supervisory responsibilities?  Hear the answers from our panelists, including current FINRA Enforcement Counsel.  This brown bag lunch will discuss current FINRA Rules and Guidance on the use of social media with an opportunity to discuss real-world scenarios. 

Sponsoring Section/Committee(s):




Elizabeth Vincensi


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