September 2021

The Social Media Guide: Social Media Compliance for Issuers, Broker-Dealers, & Investment Advisers

In our updated Social Media Guide for issuers, broker-dealers, and investment advisers, we discuss in depth the latest guidance and regulations covering the use of social media, including using websites in capital raising transactions, “advertisements” under the Investment Advisers Act of 1940, the use of robo-advisers, and FINRA guidance on the use of social media by broker-dealers.

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