This FINRA regulation based training will discuss how to create social media policies and implement for compliance and enforcement to avoid fines and disciplinary action for regulated companies. It will also discuss the FINRA Notice 10-06 (issued Jan 2010).
Why Should You Attend:Social Networking is considered by FINRA to be "communicating with the public", and as such subject to rigorous rules, regulations, and procedures that if not followed can lead to fines and disciplinary action to both the Registered Representative (RR) and their parent Broker-Dealer firm.
Attend this webinar to learn from Paul Messerschmidt who is active in the financial services community and in the social media community, managing over forty social media accounts, including LinkedIn, Twitter, and Facebook. He will give an overview of Social Media, how to access the Risks, how to protect your brand by creating and implementing action plans, social media policies and implementing it. Attendees will learn about FINRA Notice 10-06 (issued January 2010) "Guidance on Blogs and Social Networking Web Sites". Paul will also review commercially available technology that can be used to meet FINRA requirements including: Hardware, Software, Applications (apps).
Areas Covered in the Seminar: - How to Create an Action Plan.
- How to Establish Social Media Policies.
- How to Conduct Corporate Education.
- How to Develop Policies and Procedures for Implementation, Compliance, Enforcement.
- How to Benchmark against "Best Practices".
- How to Separate and segregate Personal and Professional Social Networks.
Key Topics to be addressed include: - Blogs , Instant messaging (IMs) , Webinars.
- Communicating with the Public.
- Categories of Electronic Communication.
- Record Keeping Issues.
- Social Networking Web Sites.
- Appropriate use of third-party content.
- Supervision.
- Clarification of FINRA Notice 10-06.
