Helping the financial industry adopt social networking

Employee Guidelines

Curious if other organizations incorporate the FINRA regs into their employee (non-producer) guidelines.

Thanks in advance for any feedback!
Marti

Tags: employee, finra, guidelines

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Replies to This Discussion

Permalink Reply by Kayalucia Lauwerys on August 6, 2010 at 2:49pm

Marti, I believe that FINRA regs should be followed by all employees in this industry. In 2008 the SEC closed two sites down after comments where made and blogs posted publicly - from 'non-producer' employees as well as marketing professionals - where taken as promisory. Clearly, the world has changed since that time but I believe it highlights the need to proactively manage social media in the financial services sector in order to help re-establish trust in the consumer market,

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Permalink Reply by Scott Horman on August 11, 2010 at 7:09pm

We're in the midst of this currently. All our Associates are non-producers, but we're still writing guidelines based on FINRA regs. To Kayalucia's point, you can never be too careful when dealing with FINRA.