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ARMA and AIIMMarch 13, 2013
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FINRA, record keeping in the financial broker-dealer business.        Every firm that intends tocommunicate, or permit its...
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Dropping Anchor Under the Waterfall:  Legal and Policy Challenges of the Social Data Deluge
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Dropping Anchor Under the Waterfall: Legal and Policy Challenges of the Social Data Deluge

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Presentation to ARMA and AIIM chapters regarding data management and company best practices relating to social media

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Dropping Anchor Under the Waterfall: Legal and Policy Challenges of the Social Data Deluge

  1. 1. ARMA and AIIMMarch 13, 2013
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  3. 3. FINRA, record keeping in the financial broker-dealer business. Every firm that intends tocommunicate, or permit its associated personsto communicate, through social media sites mustfirst ensure that it can retain records of thosecommunications as required by Rules 17a-3 ad17a-4 under the Securities Exchange Act of 1934and NASD Rule 3110.
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