{"id":1275,"date":"2013-06-28T10:47:58","date_gmt":"2013-06-28T10:47:58","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2013\/06\/finra_delays_audit_trail_plan"},"modified":"2022-03-10T16:37:17","modified_gmt":"2022-03-10T22:37:17","slug":"finra-delays-audit-trail-plan","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-delays-audit-trail-plan\/","title":{"rendered":"FINRA Delays Audit Trail Plan, Proposes Arbitration Rule Changes, Asks for Firm\u2019s Social Media Use Data, Warns About Cybersecurity Breaches"},"content":{"rendered":"

\t\t\t\tFINRA Wants Broker-Firms to Provide More Data About Social Media Use<\/strong><\/p>\n

The Financial Industry Regulatory Authority has sent target examination letters to broker dealer members regarding their use of social media. The SRO warned that electronic and written communication may be subject to spot checks and it wants to know how the firms are using social media, what platforms they employ, and the names of the people that post on these sites. FINRA is also interested in each firm’s written supervisory procedures about this type of online communication that were in effect between February 4 and May 4, as well as what steps were taken to make sure that compliance was in effect.<\/p>\n

SEC Seeks Comments on Proposed FINRA Arbitration Changes <\/strong><\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

FINRA Wants Broker-Firms to Provide More Data About Social Media Use The Financial Industry Regulatory Authority has sent target examination letters to broker dealer members regarding their use of social media. The SRO warned that electronic and written communication may be subject to spot checks and it wants to know how the firms are using […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3798,3739],"tags":[],"class_list":["post-1275","post","type-post","status-publish","format-standard","hentry","category-arbitration","category-finra"],"yoast_head":"\nFINRA Delays Audit Trail Plan, Proposes Arbitration Rule Changes, Asks for Firm\u2019s Social Media Use Data, Warns About Cybersecurity Breaches — Investor Lawyers Blog — June 28, 2013<\/title>\n<meta name=\"description\" content=\"FINRA Wants Broker-Firms to Provide More Data About Social Media Use The Financial Industry Regulatory Authority has sent target examination letters to — June 28, 2013\" \/>\n<meta name=\"robots\" content=\"index, follow, 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