Social Media for Financial Services

Successfully originate new accounts on social media in accordance with SEC and FINRA rules and regulations.
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  • Lectures 14
  • Length 1 hour
  • Skill Level All Levels
  • Languages English
  • Includes Lifetime access
    30 day money back guarantee!
    Available on iOS and Android
    Certificate of Completion
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About This Course

Published 1/2015 English

Course 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.

What are the requirements?

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

What am I going to get from this course?

  • 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

Who is the target audience?

  • Anyone associated with a broker-dealer or an investment advisory firm that uses social media for business.

What you get with this course?

Not for you? No problem.
30 day money back guarantee.

Forever yours.
Lifetime access.

Learn on the go.
Desktop, iOS and Android.

Get rewarded.
Certificate of completion.


Section 1: Intro to Social Media for Financial Services

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


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

Section 2: Social Networking for Financial Services Providers

This lecture covers using Facebook for Financial Services.


LinkedIn's terms of service are available at: A CSV file as a "comma separated values" file. Details:


Twitter's terms of service are available at:

Section 3: Social Media Compliance for Financial Services

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: FINRA provides an FAQ on Rule 2210 at


FINRA has published guidelines on blogging and social networking, which covers engaging with third-parties, that is available for download at


FINRA has published guidelines on blogging and social networking, which covers the use of social media testimonials, that is available for download at

Section 4: SEC, FINRA & FFIEC Rules & Regs

FINRA has published guidelines on blogging and social networking, which covers record keeping requirements, that is available for download at The firm mentioned, which is one of many that provides social media record keeping services is


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.

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Instructor Biography

I'm an entrepreneurial project manager and digital product developer currently managing the Center for Digital Innovation at Howard Industries in Santa Monica.

I have a lot of experience in big data analytics and digital compliance, as well as a background in sales and marketing.  And I cowrote the best-seller “Social Marketing to the Business Customer" with Paul Gillin.

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