Communications and Compliance: Finding the Right Balance

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About This Course

This CLE program will address what compliance and legal professionals need to know about upcoming and proposed changes to the broker dealer communications rules including amendments to the filing requirements, potential performance standards, and new disclosure approaches. Panelists will also discuss guidance in development with respect to social media, mobile devices and digital communications. The panel will also share considerations arising from how the industry has implemented JOBS Act rule changes in their communications.

After attending this session, you will be able to:

  • Understand the status of proposed changes to FINRA’s filing requirements;
  • Discuss FINRA’s review of websites dedicated to the offer of private placements and crowdfunding;
  • Consider the development of additional guidance for digital communications, social media, and mobile devices;
  • Evaluate proposals regarding disclosure and individualized performance communications; and
  • Apply FINRA’s new rule requiring the inclusion of a link to BrokerCheck on websites.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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