In-Network Mobile recording

In-Network Mobile recording

Regulatory notice 10-06: Social media web sites

Highlights

All firms are required to retain records of communications related to the broker-dealer’s business that are made through social media sites as required by Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 and NASD Rule 3110.

Useful links

Regulatory notice 10-06: Social media web sites

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