On August 23, 2019, the Securities and Exchange Commission (SEC or Commission) held in In re John M.E. Saad that the US Supreme Court’s decision in Kokesh v. SEC had no impact on the Financial Industry Regulatory Authority’s...more
A new service, Snapchat, has joined the constellation of social media services with potential business implications. Snapchat is a mobile application, originally aimed at teenagers, which allows users to send photos and text...more
8/12/2013
/ Audits ,
Broker-Dealer ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Facebook ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Securities and Exchange Commission (SEC) ,
Snapchat ,
Social Media ,
Transparency