Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-11 Notification provisions for brokers and dealers.
This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-13 Quarterly security counts to be made by certain exchange members, brokers, and dealers.
17a-13(a) This section shall apply to every member of a national securities exchange who transacts a business in securities directly with or for others than members of a
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-2 [Reserved]
/**/
Publication Date: August 11, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3 Customer protection — reserves and custody of securities.Except where otherwise noted, § 240.15c3-3 applies to a broker or dealer registered under section 15(b) of the Act (15 U.S.C. 78o(b)), including a broker or dealer also registered as a security-
