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FINRA Continues to Focus on Instant Messages; Will Social Media be Next?

May 12, 2011
In a May 9, 2011 article published in BD Week, Sutherland Partner Brian Rubin comments on recent FINRA enforcement sanctions against firms involving Instant Messaging. The article cites Sutherland's FINRA Sanctions Analysis in which the SRO brought more than 25 disciplinary cases since 2005. Further quoting Rubin, BD Week reports that social media enforcement actions could be just around the corner. Rubin warned that as technology changes, firms need to keep up with methods by which registered representatives communicate:  "Social media appears to be the next wave that FINRA is strongly focused on."  To view the article in full click here.

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Adam C. Pollet, Associate
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