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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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