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Tuesday, March 13, 2012

2:25 PM - 3:15 PM

SOCIAL MEDIA AND COMPLIANCE FOR THE ADVANCED BEGINNER - 1 CE CREDIT

Katie Berg Product Manager, Digital Assets, RAYMOND JAMES
Alexandra Basak Russell, Esq. Head of Compliance, HEARSAY SOCIAL

Many FAs have begun to dabble with social media as a client acquisition and retention tool, and the major brokerages are beginning to implement this technology in ways to allow their advisors to take advantage of its benefits. However, inherent in the use of social media among advisors are concerns about compliance with SEC and FINRA regulations. In this session we’ll take a look at best practices in social media usage and discussion of the latest in FINRA compliance.

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