Social Media in a Regulated Environment (for Financial Services)


Instructor: Paul Messerschmidt
Product ID: 701815

  • Duration: 75 Min
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 FINRA Notice 10-06 (issued Jan 2010), FINRA Notice 11-39 (issued August 2011), and SEC guidance (issued January 2012).
Last Recorded Date: Mar-2012


1 Person Unlimited viewing for 6 month info Recorded Link and Ref. material will be available in My CO Section
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1 USB is for usage in one location only. info CD/USB and Ref. material will be shipped within 15 business days
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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. The seminar will summarize recent FINRA fines, penalties, and suspensions for non-compliant social media activity.

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, Facebook, and Google-Plus. 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 "Guidance on Blogs and Social Networking Web Sites" and FINRA Notice 11-39 “Guidance on Social Networking Websites and Business Communications”. 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,Short-code text messaging.
  • 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.
  • Clarification of FINRA Notice 11-39.
  • Clarification of SEC Social Media Guidance.

Who Will Benefit:

  • Advertising Departments
  • Sales and Marketing Staff
  • Compliance Professionals
  • Legal Departments
  • Operations and IT staff
  • Registered Representatives (RRs)
  • Senior Management

Instructor Profile:

Paul Messerschmidt, has been active in the financial services and risk management community for two decades, and is also active in the social media community, where he manages over forty social media channels, including LinkedIn, Twitter, and Facebook.

Paul is a registered stock and commodity broker (FINRA Series-7 and NFA Series-3).

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Refund Policy

Our refund policy is governed by individual products and services refund policy mentioned against each of offerings. However in absence of specific refund policy of an offering below refund policy will be effective.
Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).




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