Social media is rapidly changing the way financial advisors approach their marketing efforts, but staying current with compliance regulations can be a challenge. CEO Craig Faulkner and Mike Woods, Vice President, Product Development & Compliance for FMG Suite, recently attended a webinar titled “FINRA’s New Communication Rules” hosted by Financial Planning Magazine. Here they give us the latest news on this important topic:
FINRA and the SEC’s Office of Compliance Inspections and Examinations (OCIE) have issued detailed guidelines in the past year that are open to some interpretation, according to two moderators who spoke about FINRA’s New Communication Rules Web Seminar. But the grey area is getting thin as more firms allow their registered reps and investment advisors to use social media.
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