Compliance Guide

Regulatory rules, compliance concerns and a lack of knowledge in new technologies are begging the question, what do I need to know to use social media?The exponential growth of social media in the online world has quickly caused the lines to blur between the personal, professional, private and overall general models of interaction and conduct online. Regulatory rules from FINRA and the Securities and Exchange Commission have been preventing financial professionals from fully harnessing the power that social media holds. Compliance concerns and a lack of knowledge in the new technologies are begging the question, what do I need to know to use social media? Implementing a social media policy for your organization is key in setting guidelines, rules and regulations on what is appropriate and how your business is displayed online. But, ugh, rules and regulations? Social media policy? Proprietary information and content? What are these things?

Social media popularized so quickly that the idea of a social media policy was an afterthought for most companies. Regardless of whether your business has a social media policy, it’s crucial that you create and implement a strategy for regulating the use of social media and how your organization is being seen by the online world. Not only can FSM provide helpful guidelines and instructions on how to create your own compliance guide, but we’ve also built our own compliance guide based on FINRA’s rules for your personal use.

Why should you download our Compliance Guide?

  • Stay in line with regulations set forth by FINRA and the SEC.
  • Learn how to adopt the best practices in using social media.
  • Use as the foundation for creating or supplementing your organization’s policies.
  • Stop using social media blindly - get educated on how to navigate the regulatory social ecosystem.

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