FINRA

The Cost of Compliance Violations: Real Cases & Consequences

In the financial advice industry, compliance violations in advertising can cost far more than just fines. FINRA issued $85.5 million in fines in 2023 alone. Explore real cases of misleading advertising, social media missteps, and learn how to stay compliant to protect your reputation and career.

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Building Trust on Social Media – A Compliance-Friendly Guide for Financial Advisors

Financial advisors often hesitate to engage on social media due to compliance concerns. This guide provides practical strategies for building trust online while navigating FINRA and SEC regulations, with advice on content creation, engagement tactics, and compliance tools.

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