Communications Submitted for Review by FINRA Face Increased Review Fees

October 3, 2017Legal AlertsCommunications with the Public, Digital CommunicationsDaniel LeGaye

The Financial Industry Regulatory Authority, Inc. (“FINRA”) has announced that it is filing with the Securities and Exchange Commission (“SEC” or “Commission”), a proposed rule change to amend Section 13 of Schedule A to the FINRA By-Laws (“Section 13”) which govern the review charges for communications filed with or submitted to FINRA’s Advertising Regulation Department (the … Continue reading Communications Submitted for Review by FINRA Face Increased Review Fees →

FINRA Issues New Guidance on Social Media and Digital Communications

May 16, 2017Legal AlertsDigital Communications, Social MediaDaniel LeGaye

In light of trends in emerging technologies and communications innovations, FINRA has issued new guidance regarding the application of FINRA rules governing communications with the public to social media and digital communications. It should be noted that in the Retrospective Rule Review Report: Communication with the Public, a report published by FINRA in December 2014, … Continue reading FINRA Issues New Guidance on Social Media and Digital Communications →