FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All
A respondent in a recent FINRA regulatory settlement had a Twitter account with 1,400 followers, and she posted at least 372 tweets, 32 of which referenced Advanced Micro Devices (NYSE: AMD). According to FINRA, the registered person needed to inform a Principal at her firm about the account and the AMD tweets. However, there's far more to the case.
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