The financial advisors guide to social media regulations strategy and technolgy

The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) recognize social media’s growing role in firms’ marketing and communications strategies, and have provided guidance on how to extend their compliance programs to this dynamic channel. This guide contains practical steps that will help you develop a social media strategy and policy that meets these social media recordkeeping and supervision regulatory requirements, while still gaining maximum business value from your social efforts. With smart compliance practices you can be prepared to present your social media records, as well as evidence of your supervisory procedures, in the event of a regulatory request or exam. This guide also provides insight on practices that will help you become proactive and diligent with supervision and ready to respond to discovery events like audits, examinations and potential litigation.

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