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Home > Solutions > FDA and SEC Compliance

FDA and SEC Compliance

SociaTec Inc. Solutions

  • FINRA -
  • Regulatory Notice 11-39
  • Regulatory Notice 10-06

  • SEC -
  • Advisers Act Rule 206(4)-7,3
  • Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934

  • NASD Rule 3110 and 2210

  • IIROC -
  • Notice 11-0349

  • Social media FINRA Regulatory Notice 10-06
    Capture and retain all communications from any public website:
    Every firm that intends to communicate, or permit its registered representatives to communicate through social media sites must first ensure that it can retain records of those communications.

    Pre-review static content: Static content on social media sites, like profiles, background or wall information, is subject to pre-review, since it is considered advertising.
    Supervise dynamic content: Dynamic content, like status updates and tweets (on Facebook and Twitter), can be subject to post review (triggered either through a lexicon search of keyword violations or through a random sample procedure).

    Supervise customer complaints: Customer complaints must be identified and recorded. In addition, each complaint must be acknowledged by the registered firm to the customer within 15 business days.

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