SCHEDULE PLANNING GUIDE - Financial Services Institute
SCHEDULE PLANNING GUIDE - Financial Services Institute
SCHEDULE PLANNING GUIDE - Financial Services Institute
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ED SESSIONS<br />
Thomas Pappas is vice president and director of the FINRA Advertising Regulation<br />
Department, which regulates the advertisements, sales literature, and correspondence<br />
used by FINRA firms. His responsibilities include rule development,<br />
management of the filing and surveillance programs, and related enforcement<br />
activities. He served in the same role at NASD before its 2007 consolidation with<br />
NYSE Member Regulation, which resulted in the formation of FINRA. He joined<br />
NASD in 1984 and was previously with Davenport & Company LLC. He received a<br />
bachelor’s degree from The University of Richmond and an M.B.A. from Virginia<br />
Commonwealth University.<br />
Jeff Williams is the vice president and chief compliance officer for Northwestern<br />
Mutual Investment <strong>Services</strong>, LLC, which is a subsidiary of The Northwestern Mutual<br />
Life Insurance Company, and a registered broker-dealer and investment advisor. In<br />
his capacity as the CCO, Jeff is responsible for the compliance program for the firm<br />
and its 7,000+ representatives. Jeff joined The Northwestern Mutual Life Insurance<br />
Company in 1991 as the corporate risk manager and subsequently became the vice<br />
president of compliance risk management. Jeff received a B.S. degree in business<br />
administration from the University of Illinois (Champaign) in 1977.<br />
Session Outline—Yes, You Do Need To Know About Social Media!<br />
Or, What’s All This Tweeting Going On<br />
I. Social Media as a Marketing Tool<br />
a. What is social media<br />
b. The current landscape: social media today (LinkedIn, Twitter, etc.)<br />
c. Before you get started<br />
d. Strategies for growing brand awareness and establishing and building<br />
relationships<br />
e. Challenges marketing departments face in these efforts<br />
II. Rules and Regulations Applicable to Social Media<br />
a. How do SEC and FINRA rules apply to social media<br />
• Record Keeping—retain, archive, and retrieve<br />
• Internal approval by registered principal<br />
• FINRA filing requirements<br />
• Issues relating to content<br />
• Supervision and procedures<br />
b. Update on recent guidance issued by FINRA<br />
III. A CCO’s Perspective<br />
a. Requests to use social media<br />
• Internal (marketing, communications, recruiting)<br />
• External (brokers, customers)<br />
36 2010 FSI Broker- Dealer Conference