What you'll learn

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

Course content

4 sections • 15 lectures • 50m total length

Social Media for Financial Services Overview2:04
In this tab, you'll find links that are referenced in the corresponding lesson. If there are supplemental resources for this cource, there will be a separate resources tab where you can access those. You can contact the instructor for this course at https://www.linkedin.com/in/paullaurin
What to Expect from this Course2:27
Comply Socially is NOT providing legal advice, determining “best practices,” or telling you what to say or do.
Why Financial Services Providers Should Use Social Media2:27
Comply Socially offers another course specifically devoted to the building the business case for social media in a variety of industries. Business to business sales and marketing professionals are also encouraged to read the best-seller "Social Marketing to the Business Customer."
Professional Social Media Etiquette2:59
You can review Facebook's terms of service at https://www.facebook.com/legal/terms

Facebook for Financial Services Providers5:04
This lecture covers using Facebook for Financial Services.
LinkedIn for Financial Services Providers3:17
LinkedIn's terms of service are available at: https://www.linkedin.com/legal/user-agreement A CSV file as a "comma separated values" file. Details: http://en.wikipedia.org/wiki/Comma-separated_values
Twitter for Financial Services Providers4:30
Twitter's terms of service are available at: https://twitter.com/tos

General Regulatory Concerns, Ads & Public Appearances5:48
Information on Form U5 (Uniform Termination Notice for Securities Industry Registration) which is used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs), and jurisdictions is available at: http://bit.ly/FormU5 FINRA provides an FAQ on Rule 2210 at http://bit.ly/Rule2210
Interacting with Third Party Content on Social Networks2:53
FINRA has published guidelines on blogging and social networking, which covers engaging with third-parties, that is available for download at http://bit.ly/FINRA-social-guidance
Federal Ban on Soliciting Testimonials3:15
FINRA has published guidelines on blogging and social networking, which covers the use of social media testimonials, that is available for download at http://bit.ly/FINRA-social-guidance

Federal Securities & FINRA Record Keeping Requirements7:05
FINRA has published guidelines on blogging and social networking, which covers record keeping requirements, that is available for download at http://bit.ly/FINRA-social-guidance The firm mentioned, which is one of many that provides social media record keeping services is http://www.archivesocial.com
FFIEC and Other Regulatory Concerns2:50
This lecture covers other regulations and concerns for the Financial Services industry with Social Media.
SEC Reg FD Compliance on Social Media3:03
This lecture covers the SEC Regulation Fair Disclosure and how it applies to information that might impact the trading value of a stock price and more.
Risk Management Escalation Procedures2:02
This lecture summarizes the personal responsibilities individuals have when they use social media at work.
Bonus for Students Only1:07
All marketing will soon be digital marketing. Now, there's an easy way to understand what it is and how it works.

Requirements

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

Description

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.

What you'll learn

Explore related topics

Course content

Intro to Social Media for Financial Services4 lectures • 10min

Social Networking for Financial Services Providers3 lectures • 13min

Social Media Compliance for Financial Services3 lectures • 12min

SEC, FINRA & FFIEC Rules & Regs5 lectures • 16min

Requirements

Description

Who this course is for: