On the books – FINRA fine proves marketing comms can be a recordkeeping risk
A recent fine issued by FINRA for a firm’s failure to preserve marketing communications has added yet more fuel to the current regulatory focus on marketing, recordkeeping, and social media.
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A Simple Guide to FINRA Rule 4530
Navigate FINRA Rule 4530 with our straightforward guide. Understand requirements, and compliance strategies in this easy-to-follow resource.