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.
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
Comply Socially is NOT providing legal advice, determining “best practices,” or telling you what to say or do.
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."
You can review Facebook's terms of service at https://www.facebook.com/legal/terms
This lecture covers using Facebook for Financial Services.
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's terms of service are available at: https://twitter.com/tos
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
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
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
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
This lecture covers other regulations and concerns for the Financial Services industry with Social Media.
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.
This lecture summarizes the personal responsibilities individuals have when they use social media at work.
After 15+ years of marketing, public affairs and digital product management experience, I can lead multidisciplinary teams with the urgency of an entrepreneur, the sensitivity of a diplomat and the effectiveness of a scrum master.
I founded the first content management system for corporate communications, iPRSoftware (formerly iPressroom) before applying the merits of big data analytics to public affairs initiatives for the U.S. Dept. of State and DoD. Currently, I lead digital innovation at a $1B industrial manufacturer responsible for critical infrastructure power equipment.
I'm also a digital product management, demand generation, search engine optimization, email marketing, and marketing automation expert with experience integrating and implements multiple platforms.
In 2011, I cowrote the best-seller “Social Marketing to the Business Customer," the first book on B2B demand generation and created a portfolio of self-paced online courseware used by more than 36k students.