Social Media for Financial Services

Successfully originate new accounts on social media in accordance with SEC and FINRA rules and regulations.
Rating: 4.3 out of 5 (151 ratings)
11,201 students
Social Media for Financial Services
Rating: 4.3 out of 5 (151 ratings)
11,201 students
LinkedIn, Twitter and Facebook for Financial Services Providers
SEC & FINRA social media rules and regs
Business case for financial services providers to use social media
Demonstrating professional social media etiquette and engaging with third-parties
Rules concerning online advertising vs. online public appearances


  • No prior knowledge of social media for financial services is required.

Using Social Media in Financial Services

Social Media for Financial Services Providers guides financial advisers, investment advisers, registered principals and anyone else associated with a broker-dealer or an investment advisory firm through the process of using social media for business communications.

In recent years, regulatory organizations like FINRA and the SEC have issued guidance on how firms and individuals can remain in compliance with all the applicable regulations, while still benefitting from the power of social media.

This course covers what financial service professionals need to know to use social media without running into problems with regulators or their firms.

Who this course is for:
  • Anyone associated with a broker-dealer or an investment advisory firm that uses social media for business.
4 sections • 14 lectures • 49m total length
  • Social Media for Financial Services Overview
  • What to Expect from this Course
  • Why Financial Services Providers Should Use Social Media
  • Professional Social Media Etiquette
  • Facebook for Financial Services Providers
  • LinkedIn for Financial Services Providers
  • Twitter for Financial Services Providers
  • General Regulatory Concerns, Ads & Public Appearances
  • Interacting with Third Party Content on Social Networks
  • Federal Ban on Soliciting Testimonials
  • Federal Securities & FINRA Record Keeping Requirements
  • FFIEC and Other Regulatory Concerns
  • SEC Reg FD Compliance on Social Media
  • Risk Management Escalation Procedures

Multidisciplinary team leader
Eric Schwartzman
  • 4.2 Instructor Rating
  • 11,403 Reviews
  • 191,698 Students
  • 20 Courses

I help organizations turn content into contacts into cash through optimization, digital engagement and lead generation.

I led the center for digital innovation at Howard Industries, a $1B B2B, launched 2 SaaS start-ups and did integrated marketing for entertainment, media and tech clients at one the world's largest PR Agencies.

I’m a best-selling author of Social Marketing to the Business Customer. Some of the organizations I've advised are Boeing, Cirque du Soleil, City National Bank, Hard Rock Casinos, Johnson & Johnson, Korn Ferry, Lucasfilm, US Dept. of Defense, US Dept. of State, Inter American Development Bank.

My complete library of self-paced, online digital marketing, compliance and security training courses have been taken by nearly a quarter million people worldwide on Udemy and at my own website.

Google "social media training" to find my additional courses.