SEC Social Media Rules for Financial Services Firms

Learn how SEC social media rules affect financial services firms, including investment adviser advertising, testimonials, endorsements, performance claims, and recordkeeping. Discover practical compliance workflows that help marketing and compliance teams review, approve, monitor, and archive regulated social media content while reducing common risks and creating a more consistent approach to financial marketing.

Financial Services Social Media Compliance

Learn how FINRA social media compliance helps financial firms manage regulated communications, supervision, recordkeeping, approvals, and financial promotions. Discover practical strategies to reduce compliance risks, improve review workflows, and create a more controlled social media process for financial services teams while supporting efficient marketing and ongoing regulatory oversight.