#seccrackdown

[shielfc]

Financial Firms - Electronic Communications Compliance

Current policies are generally and woefully inadequate when it comes to defining what a broker can say and do on social media with their personal accounts. Watch the infographic.

[shielfc]

Communications Compliance | The SEC Crackdown Begins

The move illustrates how regulations and compliance measures in response to those regulations are shifting in this pandemic era. Visit the blog at https://bit.ly/3o2GLZ2