This webinar will discuss FINRA Regulatory Notice 10-06, 11-39 and SEC Social Media Guidance. Attendees will learn how to ensure compliance with all rules, regulations and guidance as it relates to social media and electronic devices.
With that said, most egregious rule violations connected to social media and use of electronic devices are found at the broker dealer branch location where registered representatives are located and perform their daily responsibilities.
This webinar will clarify FINRA Regulatory Notice 10-06, 11-39 and the SEC Social Media Guidance. In addition, it will enable firms to apply such guidance in their compliance reviews. With the regulatory focus on social media, senior management, compliance officers and internal auditors need to have an understanding of the rules and regulatory guidance (subject matter expertise) and how to apply them while performing diligent reviews. This webinar will provide guidance to firms on what measures to adopt at the home office and branch office locations to be compliant with all regulatory rules and guidance as it relates to social media and use of electronic devices.
Why Should You Attend:
It is extremely important to be able to manage, supervise and audit the use of any type of social media websites, in addition to the use of all firm owned and personal electronic devices for business communications. Firms may permit their associated persons to use any communication device, whether it is owned by the firm or an associated person for business communications. FINRA recognizes that new technologies can facilitate the ability of associated persons to perform their responsibilities and in the case of registered representatives, to serve their clients. Firms must be able to retain, retrieve and supervise business communications regardless of whether they are conducted from a device owned by a firm or by the associated person.With that said, most egregious rule violations connected to social media and use of electronic devices are found at the broker dealer branch location where registered representatives are located and perform their daily responsibilities.
This webinar will clarify FINRA Regulatory Notice 10-06, 11-39 and the SEC Social Media Guidance. In addition, it will enable firms to apply such guidance in their compliance reviews. With the regulatory focus on social media, senior management, compliance officers and internal auditors need to have an understanding of the rules and regulatory guidance (subject matter expertise) and how to apply them while performing diligent reviews. This webinar will provide guidance to firms on what measures to adopt at the home office and branch office locations to be compliant with all regulatory rules and guidance as it relates to social media and use of electronic devices.
Areas Covered in the Webinar:
- Provisions of Regulatory Notice 10-06 and 11-39.
- Authoritative guidance on how the FINRA rules governing communications with the public apply to social media sites that are sponsored by the firm or its registered representatives.
- Regulatory expectations related to social media websites.
- Regulatory expectations related to the use of firm owned and personal devices for business communications.
- Social media content sound practices.
- FINRA’s spot check of social media communications.
- FINRA examiner checklist.
- Best practices in performing compliance reviews and assessments at the branch office location.
- Questionnaires utilized to perform review of registered representatives use of social media and their use of electronic devices for business communications.
Who Will Benefit:
- Compliance Directors
- Compliance Professionals
- Internal Auditors
- Branch Auditors
- Branch Office Managers
- Registered Representatives
- Senior Management
- Legal Department Personnel
Course Provider
Donna Sardanopoli,
