The Financial Advisor’s Guide to Social Media 

The regulatory agencies for financial services, FINRA and the SEC, have recognized the importance of social media for financial services and have provided guidance on how advisors can extend compliance programs to social networks.

This e-book contains the guidelines provided by these regulatory agencies, as well as practical steps that will help you develop smart social media strategies and policies to gain maximum business value from your social efforts while meeting your compliance obligations.

The widespread adoption of social media, especially among professionals and high net worth individuals, is creating new possibilities for financial advisors to connect and engage with clients and attract new opportunities.

But to be heard above the noise on social networks like LinkedIn, Facebook and Twitter while meeting SEC and FINRA compliance obligations requires the right technology and thoughtful policies.

Download The Financial Advisor’s Guide to Social Media and learn:

  • Key recordkeeping requirements from the SEC and FINRA
  • How each social media platform can be set up to deliver results
  • The right compliance policies that will allow you to use social media safely and effectively

This guide is also available in three parts:

The Financial Advisor’s Guide to Social Media Regulations

The Financial Advisor’s Guide to Social Media Strategy and Policy

The Financial Industry Guide to Choosing a Social Media Archiving Solution

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