Master Social Media Compliance

Financial firms face unique challenges when using social media. From dynamic content approval to real-time monitoring, ensuring compliance with FINRA and SEC regulations is vital.

Download our article to learn:

• Why Social Media Compliance Matters: Protect your firm’s reputation and avoid costly penalties while leveraging the power of social media.
• Key Regulations Explained: Understand FINRA Notices 10-06 and 11-39 and how they shape compliance programs.
• Practical Strategies: Discover tools and workflows that enable scalable, efficient compliance management.

Exclusive Insight:

Learn how Red Oak’s Social Media Compliance solution simplifies compliance through pre-review workflows, integrated recordkeeping, and a fully customizable platform.

Fill out the form to download the article.