FINRA is publishing this Notice to remind firms of their supervisory obligations regarding the use of certifications and designations that imply expertise,certification, training or specialty in advising senior investors (senior designations). This Notice also outlines findings from a survey of firms and … Continued
Following a recent survey of state-registered investment advisers, the Massachusetts Division of Securities has determined that additional regulatory guidance concerning the use of social media is necessary. The Survey required responses to a variety of questions as to each investment … Continued
The Massachusetts Securities Division is currently conducting a social media survey of state-registered investment advisers. The first section asks whether you utilize any of listed sites, how long you have used such site(s), how many times in the last 12 … Continued