Social Media for Financial Services
3.4 (47 ratings)
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Social Media for Financial Services

Successfully originate new accounts on social media in accordance with SEC and FINRA rules and regulations.
3.4 (47 ratings)
Instead of using a simple lifetime average, Udemy calculates a course's star rating by considering a number of different factors such as the number of ratings, the age of ratings, and the likelihood of fraudulent ratings.
6,404 students enrolled
Created by Eric Schwartzman
Last updated 1/2015
English
Price: Free
Includes:
  • 1 hour on-demand video
  • Full lifetime access
  • Access on mobile and TV
  • Certificate of Completion
What Will I 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
View Curriculum
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 is the target audience?
  • Anyone associated with a broker-dealer or an investment advisory firm that uses social media for business.
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Curriculum For This Course
Expand All 14 Lectures Collapse All 14 Lectures 49:44
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Intro to Social Media for Financial Services
4 Lectures 09:57

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

Social Media for Financial Services Overview
02:04

Comply Socially is NOT providing legal advice, determining “best practices,” or telling you what to say or do.

What to Expect from this Course
02:27

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."

Why Financial Services Providers Should Use Social Media
02:27

You can review Facebook's terms of service at https://www.facebook.com/legal/terms

Professional Social Media Etiquette
02:59
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Social Networking for Financial Services Providers
3 Lectures 12:51

This lecture covers using Facebook for Financial Services.

Facebook for Financial Services Providers
05:04

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

LinkedIn for Financial Services Providers
03:17

Twitter's terms of service are available at: https://twitter.com/tos

Twitter for Financial Services Providers
04:30
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Social Media Compliance for Financial Services
3 Lectures 11:56

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

General Regulatory Concerns, Ads & Public Appearances
05:48

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

Interacting with Third Party Content on Social Networks
02:53

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 Ban on Soliciting Testimonials
03:15
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SEC, FINRA & FFIEC Rules & Regs
4 Lectures 15:00

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

Federal Securities & FINRA Record Keeping Requirements
07:05

This lecture covers other regulations and concerns for the Financial Services industry with Social Media.

FFIEC and Other Regulatory Concerns
02:50

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.

SEC Reg FD Compliance on Social Media
03:03

This lecture summarizes the personal responsibilities individuals have when they use social media at work.

Risk Management Escalation Procedures
02:02
About the Instructor
Eric Schwartzman
4.2 Average rating
2,707 Reviews
41,046 Students
21 Courses
Multidisciplinary team leader

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.