Thursday, November 15, 2012
FINRA COMMUNICATION RULES UPDATE--1 CE CREDIT
The Securities and Exchange Commission approved FINRA's proposed new rules governing communication with the public, and slated them to take effect Feb. 2013. During this panel, experts will walk advisors and asset managers through the specifics of the rules and how they affect advertisements, sales literature, correspondence, institutional sales material and public appearances. Another topic for discussion will be the new social media regulations and developing best practices.