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Transcript of Forbidden Fruit?
through social media? What is social media? How many people use it? Communication with the public NASD Rule 2210
NASD Rule 2310
NASD Rule 2711
NASD Rule 3010
NASD Rule 3110
SEC Rule 17a-3
SEC Rule 17a-4
Securities Act Rule 482 Supervision Approval and Record Keeping 3 years from last use Testimonials “(a) It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act [15 U.S.C. 80b-6(4)] for any investment adviser registered or required to be registered under section 203 of the Act [15 U.S.C. 80b-3], directly or indirectly, to publish, circulate, or distribute any advertisement:
(1)Which refers, directly or indirectly, to any testimonial of any kind concerning the investment adviser or concerning any advice, analysis, report or other service rendered by such investment adviser”
Endorsement Types of Communication Social Media: The Forbidden Fruit? Social Media policy Part of a Comprehensive Marketing Plan Who are you targeting?
What do they participate in?
What are they looking for?
Manage Your Time
It is about relationships
Formal Policy Written, distributed, and discussed with staff Know what needs to be
Retained Test Retrieval! Consider a Platform Specific to our industry Implementation Content is king
Know your message
Keep it current
Monitor comments and feedback
Delegate for consistency When Compliance Says "No" •Get listed
•Monitor news and vendors
•Network for introductions and referrals Who is the best person to invite to events? The Best Networked! Action Plan Find out your company's policies
Develop your strategy
Learn the environment
Build a presence! Stephen Wershing
firstname.lastname@example.org Test Retrieval!