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#AdvisorTalk: Regulatory Considerations

How will your participation in #AdvisorTalk go over with your compliance department?

We've thought of that.

The Principal Financial Group is pleased to provide an online discussion platform for financial professionals through the #AdvisorTalk hashtag on Twitter. While developing this initiative, we set out to create conversational topics that would be considered by most financial professionals to be "compliance friendly." However, we do want you to be aware of some general compliance in financial services guidelines that offer insight from Financial Industry Regulatory Authority (FINRA) and the SEC regarding social media communications with the public.

Our #AdvisorTalk comments will remain on Twitter and, as such, becomes static content. Please ensure that your broker-dealer grants you permission to participate in such events. Firms may have special procedures for monitoring their registered representatives' participation.

According to FINRA NTM 10-06 & 11-39, your interactions on #AdvisorTalk are deemed interactive content (i.e. tweeting original content in response to one of our topics), and may not need to be pre-approved by your broker-dealer, with the following restrictions:

  • Avoid discussion around a specific product or strategy
  • Do not offer specific financial advice or recommendations
  • Refrain from mentioning any clients by name

All FINRA 2210(d) content standards still apply:

  • Be based on principles of fair dealing and good faith
  • Be fair and balanced
  • Provide accurate and complete info
  • Not be misleading
  • Not make false or exaggerated claims

The #AdvisorTalk discussions cover general topics related to your practice and not on the restricted topics referenced above.

Because every social media policy is different, we encourage you to contact the compliance department of your broker-dealer for a specific social media compliance guide or specific compliance requirements.

» Learn more about #AdvisorTalk

Please note: Princor Registered Representatives must be enrolled in the Princor Social Media Monitoring program to participate in #AdvisorTalk discussions.



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