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About the Companion Website

This book has a companion website, which can be found at wiley.com/go/financialsocial (password: savvyl23). This website contains the following assets:

Video Links

Resources:

■ 5 Reasons Social Media Matters to Financial Advisors

■ Model Social Media Policy for Financial Institutions by Stuart Fross

■ 2014 Individual Investors Social Media Behavior Report

Compliance References:

■ 2013 FFICE Guidance on Social Media

■ FINRA Regulatory Notice 10-06

■ FINRA Regulatory Notice 11-39

■ NASD Guide to the Internet for Registered Representatives

■ SEC Guidance on the Testimonial Rule and Social Media, March 2014

■ SEC IM Guidance Update, March 2013

■ SEC National Examination Risk Alert

Contact the Author

 
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