5e. BD LAB – Creating Compliant Marketing Materials and Digital Communications (Basic - CLOSED)
This lab will focus on the techniques for reviewers to understand the nuances when conducting marketing material reviews. Attendees will discuss case studies highlighting common pitfalls, share best practices, and gain insight on overcoming these potential pitfalls.
This session is closed to both regulators and members of the press.
The following learning objectives will be met using case studies, examples, group discussions, and other hands-on activities:
Discuss FINRA’s Communications with the Public rule, including filing requirements, internal approval and supervision, and content standards and its application to social media.
Learn how to effectively collaborate with marketing and business units to review sales and marketing materials for compliance with firm and regulatory requirements.
Examine enforcement actions and regulatory focus on the developing world of digital marketing.
Explore the value of creating a disclosure database to assist with reviews and track FINRA comments, firm business, and other matters affecting marketing.
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