Resources

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Financial:

• FINRA Regulatory Notice 11-39: Social Media Websites and the Use of Personal Devices for Business Communications; Guidance on Social Networking Websites and Business Communications (August 2011)

• FINRA Regulatory Notice 10-06: Guidance on Blogs and Social Networking Web Sites (Jan 2010)

• NASD Rule 3010: Supervision 

• FINRA Rule 3110: Books and Records Requirements by Members (Amended Jun 2010)

Commission Guidance on the Use of Company Web Sites (August 2008) 

• SEC Interpretation of Rules 17a-3 and 17a-4: Electronic Storage of Broker-Dealer Records (May 2003)

• SEC Rule 204-2: Electronic Recordkeeping by Investment Companies and Investment Advisers (May 2001)

• SEC Rule 206(4)-1: Advertisements by Investment Advisers (Aug 1998) 

Amendments to Investment Company Act of 1940: Rule 204-2 and new Rule 206(4)-7: Compliance Programs of Investment Companies and Investment Advisers (Feb 2004)

FINRA Rule 3010: Supervision of Each Registered Representative, Registered Principal, and Other Associated Person (Amended Dec 2007)

• Securities Act of 1933

Securities Exchange Act of 1934 

Investment Industry Regulatory Organization of Canada (IIROC)

Request for comments on the updated draft Guidance Notice MR0281: “Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence” (Feb 2011)

GAO Report: Regulation of Financial Planners

Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues Remain (Jan 2011)

SEC Report: Regulation of Investment Advisors

• Study on Investment Advisers and Broker-Dealer: As Required by Section 913 of the Dodd-Frank Wall Street Reform  and Consumer Protection Act (Jan 2011)

American Bar Association (ABA)

ABA Standing Committee on Ethics and Professional Responsibility, Formal Opinion 10-457: Lawyer Websites

New York State Bar Association (NYSBA)

NYSBA Committee on Professional Ethics: Lawyer’s Use of Public Information Obtained Through Social Networking Websites

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