CLE Course Details

Social Media and Digital Communication Trends: Mobile, Messaging and Beyond

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Price: $29
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  • Description
    This CLE program provides efficient practices for the use of digital media. Join FINRA and industry social media and digital compliance experts as they discuss current and future trends. Topics will include how firms are addressing the compliance risks associated with social media and messaging services, the increased use of mobile, the evolution of live content and new capabilities, and practical compliance tips for native advertising, testimonials, and links to BrokerCheck. Topics discussed: After attending this session, you will be able to: • Understand how some broker-dealers have addressed the compliance and supervision considerations raised by the evolution of social media and communications via mobile devices; • Consider ways firms and regulators seek to keep pace with the dynamic environment of digital communications; • Understand FINRA’s approach to digital communications, social media, and mobile devices; • Evaluate approaches to enhance the delivery of information and disclosure using digital communications; and • Address the challenges that occur when representatives use digital communications without approval.
  • Instructor Bio

    Amy Sochard

    Amy C. Sochard is the Senior Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use advertisements and other sales communications that are fair, balanced and not misleading. Ms. Sochard leads the department’s investigative and targeted examination activities. She also serves as liaison to other FINRA departments involved in examinations, including the departments of Enforcement and Member Regulation. In addition, Ms. Sochard oversees staff dedicated to the routine review of advertisements and other sales communications filed with the department by broker-dealers. Ms. Sochard assists in the development of rules and interpretations for communications with the public and social media, and she routinely speaks at industry events on these topics. Prior to joining FINRA’s predecessor (NASD), Ms. Sochard worked with a real estate syndication firm in Washington, DC. She received a bachelor’s degree with distinction in English from the University of Virginia and studied poetry writing at Columbia University.

    Sheelagh Howett

    Sheelagh Howett is Chief Risk Officer at Cantella & Co., Inc. She is on the Board of Directors and shares leadership responsibility with the executive management team for overseeing the growth and success of the firm. She focuses on keeping clear and regular communication between business units and compliance within the firm. She strongly believes that risk is an enterprise-wide responsibility and has created a risk-aware culture including an understanding that risk prevention is everyone’s job. She continually works to further develop risk-management processes to identify, assess, and respond to the inevitable risks that face our industry. At the same time, she works to improve the efficiency and integration of existing processes into daily routines so they become ingrained in the firm's business. Ms. Howett is an active member of the Greater Boston Chamber of Commerce, the New England Broker/Dealer Investment Advisor Association, and the Women in Pensions Network. Originally from Ireland, Ms. Howett earned a BA in Banking and Finance at University College in Dublin. She holds FINRA Series 7 and 24 licenses.

    Nubiaa Shabaka

    Nubiaa Shabaka is an Executive Director at Morgan Stanley in New York City, where she serves as Chief Privacy and Data Protection Counsel, Cybersecurity Counsel and Social Media Counsel for the Americas. Prior to joining Morgan Stanley in January 2008, Ms. Shabaka was an associate in the Technology, Media, Communications and Intellectual Property Law Group in Proskauer Rose’s New York office. She earned a Bachelor of Arts, magna cum laude, from New York University in 2000 and a Juris Doctor degree from Harvard Law School in 2003. Ms. Shabaka additionally sits on the Privacy Committee and the Cybersecurity Committee of the Securities Industry and Financial Markets Association. She also serves on the Board of The Museum of Contemporary African Diasporan Arts.
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