About This Course
This CLE program provides efficient practices for the use of digital media. Join FINRA and industry social media and digital compliance experts as they discuss current and future trends. Topics will include how firms are addressing the compliance risks associated with social media and messaging services, the increased use of mobile, the evolution of live content and new capabilities, and practical compliance tips for native advertising, testimonials, and links to BrokerCheck.
After attending this session, you will be able to:
- Understand how some broker-dealers have addressed the compliance and supervision considerations raised by the evolution of social media and communications via mobile devices;
- Consider ways firms and regulators seek to keep pace with the dynamic environment of digital communications;
- Understand FINRA’s approach to digital communications, social media, and mobile devices;
- Evaluate approaches to enhance the delivery of information and disclosure using digital communications; and
- Address the challenges that occur when representatives use digital communications without approval.