Social Media in a Regulated Environment (for Financial Services)  
Date
Wed, Mar 07, 2012 at 10:00 am to 11:15 am PST
 Palo Alto, California
Date, Time and Location
Starting
Wed, Mar 07, 2012 at 10:00 AM PST
Ending
Wed, Mar 07, 2012 at 11:15 AM PST
Location & Address
Online Event
2600 E. Bayshore Road
Palo Alto, California
United States-94303

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Ticket Types Price
($)    		   Fee 
($)    		   Qty
Online Training  (more) 199.00 3.98 USD 1 43752 199.00 3.98 Online Training N/A 1
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Wed, Mar 07, 2012 at 10:00 am to 11:15 am
  
Event Details
This FINRA regulation based training will discuss how to create social media policies and implement for compliance and enforcement to avoid fines and disciplinary action for regulated companies. It will also discuss FINRA Notice 10-06 (issued Jan 2010), FINRA Notice 11-39 (issued August 2011), and SEC guidance (issued January 2012).
Social Networking is considered by FINRA to be "communicating with the public", and as such, subject to rigorous rules, regulations, and procedures, that if not followed can lead to fines and disciplinary action to both the Registered Representative (RR) and their parent Broker-Dealer firm. The seminar will summarize recent FINRA fines, penalties, and suspensions for non-compliant social media activity.

Areas Covered in the Seminar:

  • How to Create an Action Plan.
  • How to Establish Social Media Policies.
  • How to Conduct Corporate Education.
  • How to Develop Policies and Procedures for Implementation, Compliance, Enforcement.
  • How to Benchmark against "Best Practices".
  • How to Separate and segregate Personal and Professional Social Networks.

For Registration:http://www.complianceonline.com/ecommerce/control/trainingFocus/~product_id=701815?channel=Eventsbot
Event Hosted By
Compliance Online
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