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Lawyers warn that FINRA is ratcheting up enforcement

July 9, 2010

Litigation Partner Brian L. Rubin comments on the FINRA Sanctions Study he and co-authors Deborah G. Heilizer and Shanyn L. Gillespie released. Rubin said he thinks FINRA’s guidance on supervising registered reps’ use of social media will help firms nip potential compliance problems in the bud. Firms will either effectively ban the practice or develop procedures and systems to train and supervise their reps and to capture, review, retain and produce the message traffic.

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