ADVISORS ASKCompliant Websites & the New FINRA BrokerCheck

Rule

May 26, 1pm PST/4pm EST

Housekeeping

Attending via PhoneUnited States: +1 (415) 655-0069 Access Code: 203-668-998

Attending via Computer (GoToWebinar)goo.gl/hWstO5

We highly encourage you to participate and send us questions along the way via Chat Box.

After, we will follow up with information from this webinar!

Your Speakers

Michael JoyCustomer Success Manager

Advisor Websites

Loic JeanjeanHead of Sales and Marketing

Advisor Websites

ExpertsHost

Sophia ParkDigital Marketing Intern

Advisor Websites

I am Jayden SmithI am here because I love to give presentations. You can find me at @username

Today’s WebinarCompliant Websites- Content language and timing- Third party sources and embeds

FINRA BrokerCheck Rule 2210

Submitted & Live Questions

You will learn: how to best work with compliance on your website.

COMPLIANT WEBSITES

Content

Content text: from blog content to your biography.

Dynamic content: videos from Youtube, audio files, slideshare presentations.

Content Text - Language

Ways to avoid getting your content rejected:🔸Avoid guarantees.🔸Reference all statistics using proper citation.🔸Keep content concise and avoid too many

analogies.🔸Edit for grammar and punctuation.🔸Keep all information up to date - even the trivial

things!

Content Text - Time

Fresh content is imperative to drive traffic to your website.Blog post approval can take up to 2 weeks.

How to work around compliance’s time delay:🔸Keep content timeless/evergreen.🔸Pick big stories to comment on.🔸Take inspiration from emails you’ve repeatedly sent to

clients.🔸Focus on the facts of true case studies.🔸Repurpose content.

Content Text - Time

Content tips continued:🔸Start a series! 🔸Example: Series on Savings.

🔸Exercise between high level and specific/focused blog posts.

🔸Keep the language simple.🔸2-3 paragraphs, 4-5 sentences per paragraph.🔸Use bullet points.🔸Repeat important keywords for SEO.🔸Batch your content submission!

Dynamic Content

Mediums🔸 Videos from youtube for your blog.🔸 Audio files from podcasts.

Don’t waste your time! Check with your BD before setting up a channel or filming.🔸 Videos and audios usually require transcripts.

How to order your workflow:🔸 Submit script before, then after approval, film.

FINRA BROKERCHECK RULE 2210

““The SEC approved amendments to FINRA Rule 2210 (Communications with the Public) to require each of a member

firm’s websites to include a readily apparent reference and hyperlink to BrokerCheck on (1) the initial Web page that the

firm intends to be viewed by retail investors, and (2) any other Web page that includes a professional profile of one or more

registered persons who conduct business with retail investors. The rule amendments become effective June 6, 2016.”

FINRA BrokerCheck Rule 2210

Who: All financial advisors with a BD or some with RIAs, in the US.🔸Link to FINRA’s BrokerCheck page.🔸Allows visitors to search the advisor’s history.

🔸Link is “readily apparent”:🔸Visible on website on-open.🔸Visible regardless of scrolling.

Some BDs have specific rules on top of these. Please check with yours!

ADVISORS ASK

“I've been very curious lately on compliance

when it comes to video whether it be Facebook Live or YouTube.🔸Joe G., Washington

“Does the FINRA rule apply to my social media

sites?🔸Jeremy W., California

“Do you provide FINRA reviewed content?

🔸Michelle W., California

“My broker dealer doesn’t let me use Youtube.

What else can I use?🔸Anthony S., Oklahoma

“We would like to only have the broker check listed on the landing page (home page) and the advisor page. We are not interested in

placing it on all of the pages. Is this possible?

🔸Patrick D., Texas

“Are advisors required to keep logs of all the changes made to our website? And if yes,1) For how long?2) Does AdvisorWebsites automatically keep those records?3) Is there a way to export those records for our own records, or if we were to undergo an audit?What kind of words and phrases am I allowed to use? Can I say things like providing a confident retirement?

🔸 Adam R., Florida

“Live Q&A

Suggestions for our next Advisors Ask topic?Email: sophiap@advisorwebsites.com

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Thank you for joining us!