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Social Media Regulations for the Financial Industry

FFIEC

FFIEC – Press Release & Updated Social Media Guidance

 

FDIC

FDIC – Social Media: Consumer Compliance Risk Management Guidance

 

FINRA

FINRA Regulatory Notice 10-6

FINRA Regulatory Notice 11-39

FINRA Regulatory Notice 12-29

FINRA Targeted Examination Letter – June 2013

 

SEC

SEC National Examination Risk Alert

SEC Division of Investment Management Guidance Update

SEC Press Release: Social Media OK for Company Announcements if Investors Are Alerted

SEC Guidance on the Testimonial Rule and Social Media – March 2014

 

IIROC

IIROC Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence