ublished on Oct 22, 2012 by BrokersAlliance
http://brokersalliance.com
Personal vs Corporate Accounts
The separation of personal and business can be defined as advertising versus personal conversation. If it sounds like an ad, promoted like an ad, addresses products or services in any way…it is an ad. Social networking dislikes commercialism. Broker dealers demand pre approval of all advertising.

Non FINRA vs FINRA Communication

Each broker dealer has their own proprietary procedures in addressing Non FINRA product promotion versus FINRA product promotion. Security licensed representatives need to define and convey their Non FINRA business activities which may or may not fall under their jurisdiction or oversight.

The broker/ dealer compliance approval process – each broker dealer has interpreted the FINRA Social Media Protocols as a proprietary process excusive to its own field force.

Show Giveaways can be order at thebiz@brokersalliance.com
Compliance Guide, Quick Guide, Internet Marketing Guide

Steve Savant is a national insurance columnist, financial color commentator and host of the daily Internet talk show. Steve’s special cohost is national social media columnist and president of Financial Social Media, Amy McIlwain

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