VIDEO: Hidden Compliance Risks for Broker-Dealers Using Social Media

As broker-dealers take advantage of social media to network with clients, it's easy to run into compliance issues. Social media really blurs the line between personal and business communications. 

Every broker-dealer has their own methods to address non-FINRA product promotion as opposed to FINRA product promotion. Here's a great video that goes over some of the basic compliance issues for broker-dealers brought up by social media.