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Social Media Roles &
Responsibilities
6-Minute Saturdays (Episode 20)
New Form ADV Filing Requirement – October 1, 2017
@TINACPOWELL 3
FINRA – Financial Industry Regulatory Authority
Social Media Guidance www.finra.org
FINRA Regulatory
Notice 17-18
• Social Media and
Digital
Communications
• May 2017
FINRA Regulatory
Notice 10-06
• Guidance on Blogs
and Social
Networking
Websites
• January 2010
FINRA Regulatory
Notice 11-39
• Social Media,
Websites, and Use
of Personal
Devices for
Business
Communications
• January 2010
@TINACPOWELL 4
@TINACPOWELL 5
Capture all forms of business
communications and conduct
regular electronic
communication reviews.
@TINACPOWELL 6
Social Media Responsibilities (Partial List)
1. Social media compliance 24/7.
2. Employees should be training on proper use of electronic
communications and social media.
3. Copies of written or informal policies and procedures concerning
the use of electronic communications.
4. Evidence of ongoing monitoring of firm’s electronic messaging.
5. The retention and maintenance of records related to electronic
communications.
@TINACPOWELL 7
The Role of Social Media (Partial List)
@TINACPOWELL 8
Social Media Strategy Building Audience
Management of Social
Media Brand Accounts
Design and Implement
Social Media
Campaigns
Monitor and Respond
to Social Media
Engagement
Social Media
Responsibility for
Policies, Supervision,
and Retention of
Records
Thank you for watching!
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ALL CAPS TO 444-999 to
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Social Media Roles and Responsibilities

  • 1.
  • 2. Social Media Roles & Responsibilities 6-Minute Saturdays (Episode 20)
  • 3. New Form ADV Filing Requirement – October 1, 2017 @TINACPOWELL 3
  • 4. FINRA – Financial Industry Regulatory Authority Social Media Guidance www.finra.org FINRA Regulatory Notice 17-18 • Social Media and Digital Communications • May 2017 FINRA Regulatory Notice 10-06 • Guidance on Blogs and Social Networking Websites • January 2010 FINRA Regulatory Notice 11-39 • Social Media, Websites, and Use of Personal Devices for Business Communications • January 2010 @TINACPOWELL 4
  • 5. @TINACPOWELL 5 Capture all forms of business communications and conduct regular electronic communication reviews.
  • 7. Social Media Responsibilities (Partial List) 1. Social media compliance 24/7. 2. Employees should be training on proper use of electronic communications and social media. 3. Copies of written or informal policies and procedures concerning the use of electronic communications. 4. Evidence of ongoing monitoring of firm’s electronic messaging. 5. The retention and maintenance of records related to electronic communications. @TINACPOWELL 7
  • 8. The Role of Social Media (Partial List) @TINACPOWELL 8 Social Media Strategy Building Audience Management of Social Media Brand Accounts Design and Implement Social Media Campaigns Monitor and Respond to Social Media Engagement Social Media Responsibility for Policies, Supervision, and Retention of Records
  • 9. Thank you for watching! Text the word “TINA” in ALL CAPS TO 444-999 to subscribe and get more marketing tips