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Social Media Compliance for Financial Planning - Webinar

  • ID: 4302610
  • Webinar
  • 90 Minutes
  • Lorman Business Center, Inc.
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What are the social media issues facing investment advisers and brokerdealers today?

This topic will discuss the growing use of social media in financial planning both the marketing of these services and the interaction between financial planners and their clients. Among other things, it will cover the SECs rules for brokerage firms using these communication means as well as their personnel using them to communicate with present and prospective clients. It will also address the rules applicable to investment advisors, and the rules of the Financial Industry Regulatory Authority on communications with the public, as well as proposed rules and conceptual releases seeking input on regulating this area.

Learning Objectives
  • You will be able to define social media and how it is playing an increasing role in the financial planning market.
  • You will be able to identify the three points of contact.
  • You will be able to review the regulatory environment.
  • You will be able to discuss FINRA rules.
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What Is Social Media and How It Is Playing an Increasing Role in the Financial Planning Market?

3 Points of Contact
  • Use by the Financial Planner
  • Third Party Use- What "They" Say About You
  • What Your Firm Says
The Regulatory Environment
  • The SEC
  • Brokerage Firms
  • Investment Advisors
  • Marketing Products-Mutual Funds, Pooled Investment Vehicles
  • FINRA Rules
  • Brokerage Firms
  • Registered Representatives
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Morris N. Simkin - Law Office of Morris Simkin
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This webinar is designed for investment brokers, financial planners, stock brokers, estate planners, attorneys, presidents, vice presidents and other financial executives.
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