Finra

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FINRA has published Regulatory Notice 10-06, providing guidance on how FINRA's rules governing communications with the public apply to social media Web sites, such as blogs and social networking sites, that are sponsored by members or their registered representatives. The guidance, based on input from FINRA's Social Networking Task Force composed of FINRA staff and industry representatives, is intended (i) to guide firms on applying the communications rules to social media sites; (ii) to ensure that investors are protected from false or misleading claims and representations; and (iii) to ensure that firms are able to effectively and appropriately supervise their associated persons' participation in these sites. In this Knowledge Group webcast, a panel of distinguished professionals will help you understand the most critical issues which will include:

    - An Overview of FINRA communications rules;
    - An Analysis of Regulatory Notice 10-06;
    - The Implications for Supervision and Compliance;
    - Can IT surveil social sites?
    - Privacy issues; and
    - Recommended Policies and Procedures.

This live webcast will provide compliance and legal professionals with a comprehensive overview of FINRA's guidance on social networking and suggestions for policies and procedures. Attending this course will give you the tools you need to understand how to effectively supervise brokers who use social networking sites.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Important Note: Your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date or you will not be able to obtain CLE credit.
Advance Preparation: Print and review course materials
Course Code: 103975
Recording Fee: $299 (Please click here for details)
NASBA Sponsor Number: 109004

 

Featured Speakers for FINRA Guidance on Social Networking Sites Blurs the Line Between Personal and Business Related Activity LIVE Webcast:


Proposed Agenda (click here to view more)
SEGMENT 1:


Robert Boresta, Of Counsel,
Winston & Strawn LLP
&
Brian Heidelberger , Partner,
Winston & Strawn LLP

- Suitability Issues
- Supervision - Static and Interactive electronic communications; when is pre-approval required?
- Third party posts - adoption and entanglement issues
- Recordkeeping - (non-IT side)
- Policies and procedures
- Issues raised by social media


SEGMENT 2:


Anthony (AJ) Bosco, Head of the Regulatory Examinations and Inquiries Unit, Compliance Department,
Deutsche Bank Securities Inc.

- Communicating with employees about social networking policies and restrictions
- Setting guidelines for use of social media by employees outside of the workplace
- IT challenges of monitoring social networks for FINRA compliance
- How is your firm being portrayed on social networks


SEGMENT 3:


Melanie Taylor, VP Compliance,
Ameriprise Financial Inc.

- Enabling broker-dealers and their financial advisors to gain the maximum benefit from social media    sites
- Ensuring adequate policies, supervision and oversight for your programs
- Which social media capabilities to avoid at this time


SEGMENT 4:


Rod Heck , Vice President, Financial Industry Solutions,
Paragon Solutions
&
Sonali Bhavsar , Principal Consultant, Financial Services,
Paragon Solutions

- Social Networking Usage In The Workplace
- The Social Media Compliance Process
- Technology Implications For Social Media Supervision and Compliance
- Can IT Surveil Social Media Sites?
- Data Loss Prevention and Social Media
- Evolving Social Software in the Workplace



Winston & Strawn LLP
Robert Boresta
Of Counsel
speaker bio »»

Winston & Strawn LLP
Brian Heidelberger
Partner
speaker bio »»

Bank of America Merrill Lynch
Anthony (AJ) Bosco
Senior Vice President, Compliance
speaker bio »»

Paragon Solutions
Roderick (Rod) Heck
Vice President, Financial Industry Solutions
speaker bio »»

Paragon Solutions
Sonali Bhavsar
Principal Consultant, Financial Services
speaker bio »»

Ameriprise Financial Inc.
Melanie Taylor
Vice President, Service Delivery, Technology, Marketing and Communications Compliance
                        speaker bio »»

Who Should Attend?

- Chief Compliance Officers
- In-house attorneys for broker-dealers
- Brokers
- Outside law firms that advise broker-dealers on FINRA regulatory matters

Why Attend?

This is a must attend event for anyone interested in understanding FINRA guidance on social networking sites.
    - New guidance explained by the most qualified key leaders & experts
    - Hear directly from key regulators & thought leaders
    - Interact directly with panel during Q&A

Registration Information:                                                                                                                                    


Disclaimer:
Please note, the event date is firm although it may be subject to change. Please click here for details.

 

 

 

 


FINRA Guidance on Social Networking Sites Blurs the Line Between Personal and Business Related Activity LIVE Webcast
Speaker Firms:







 

The Knowledge Group, LLC is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Website: www.nasba.org


 

We are an approved multi-event sponsor in the state of California. Our provider ID is: 14451. In Texas, Illinois, and Virginia, we submit programs for individual approval in advance. In all other states, once attendance is verified, participants are emailed an official certificate of attendance which they submit to their respective State Bar Associations. Our programs are created with continuing education in mind and are therefore designed to meet the requirements of all State Bar Associations. If you have any questions, please email our CLE coordinator at: info@knowledgecongress.org

Important Note: Your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date or you will not be able to obtain CLE credit.

Attention New York Attorneys:

This program is approved for CLE credit under New York’s Approved Jurisdiction policy. The Knowledge Group, LLC is an approved sponsor in the state of California, a New York Approved Jurisdiction. This program fulfills the non-traditional format requirement of exceeding 60 minutes in length. Please note only experienced attorneys (more than 2 years) are eligible to receive CLE credit via non-traditional format learning platforms. The Knowledge Group will verify attendance during the webcast via secret words (3 per credit hour) and by auditing attendees log in and log out records. All verification instructions will be provided during the webcast. Once attendance verification requirements have been completed, the attendee will be issued a certificate of attendance be The Knowledge Group for the course with the recommended number of credit hours. The Certificate of Attendance is normally sent via email in 24 hours or less.

To Claim Your CLE Credits:

The attorney should simply include credits earned via Knowledge Group webcasts when computing the total number of CLE credits completed, and keep the Knowledge Group Certificate of Attendance for a period of at least four (4) years in case of audit. An attorney may count towards her/his New York CLE requirement credit earned through the Approved Jurisdiction policy without notifying the CLE Board.

To learn more about New York’s Approved Jurisdiction policy. Please visit: http://www.nycourts.gov/attorneys/cle/approvedjurisdictions.shtml



 
Enrolled Agents Sponsor ID Number: 760

We have entered into an agreement with the Office of Professional Responsibility, Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the Office of Professional Responsibility as to the quality of the program or its contribution to the professional competence of the enrolled individual.