Blogs. If you wish to discuss securities-related matters on a blog, then you must obtain pre-approval from the compliance department in order to facilitate the compliance oversight and recordkeeping required by the regulators. Your blog must identify your affiliation with Private Client Services2 and must indicate the state(s) in which you are securities registered and/or insurance-licensed and, hence, authorized to do business in, although the blog may be seen by those outside those jurisdictions. Also, if you include a hyperlink in your blog posting, additional required disclosures can be added. Non-securities-related discussions, such as those related to personal matters or approved outside business activities, may be posted on disclosed third-party blog websites. It is your responsibility to assure that discussions posted on these third-party websites do not touch upon securities-related topics.
Appears in 4 contracts
Samples: Dually Registered Representative Agreement, Registered Representative Agreement, Registered Sales Assistant Agreement
