1-Hour Program

See Credit Details Below


The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when principal updates came from the newspaper.  For example, as the SEC noted in adopting amendments to rule 206(4)-1 under the Investment Advisers Act of 1940, “… since the adoption of both the advertising and solicitation rules, the use of the internet, mobile applications, and social media has become an integral part of business communications.”  This Briefing addresses how federal regulation of securities has evolved in the face of the growing use of social media by broker-dealers and investment advisers.

Specific topics that will be covered include:

  • Use of social media in advertising practices by investment advisers and broker-dealers (20 minutes);
  • FINRA guidance on social media (20 minutes); and
  • Recordkeeping requirements in the age of digital communications (20 minutes).





Melissa A. MacGregor | Managing Director & Associate General Counsel | Securities Industry and Financial Markets Association

Marlon Q. Paz | Partner | Latham & Watkins LLP

Christine A. Schleppegrell | Private Funds Branch | U.S. Securities and Exchange Commission

Amy C. Sochard | Vice President, Advertising Regulation | Financial Industry Regulatory Authority



Credit Details

You May Also Like