http://smarsh.com/social-media-archiving - "Social media like LinkedIn, Twitter and Facebook are powerful communication tools, but compliance demands cause many in the financial services world to approach these platforms conservatively." - Smarsh/Securities America Case Study Learn how Securities America uses social media to achieve its business objectives and why they partnered with Smarsh to archive social media content for FINRA compliance.

1. Archiving Social Media for FINRA Compliance
Securities America Success Story

2. SUCCESS STORY
COMPANY PROFILE

A top 10 national independent broker dealer

Headquartered in La Vista, Nebraska

1,700+ financial professionals nationwide

Provides over 500,000 clients with quality financial advice for life

Under the jurisdiction of the Financial Industry Regulatory Authority (FINRA)

3. SUCCESS STORY
THE CHALLENGE

Support ongoing social media needs of advisors

Incorporate social media into marketing and customer relationships

Make the supervision process as efficient as possible

Meet compliance regulations set by FINRA

Enable rapid response to data production requests

4. SUCCESS STORY
THE SOLUTION
Smarsh archiving and compliance for Facebook, LinkedIn, and Twitter

Smarsh – trusted compliance provider

Simple implementation and onboarding

Reliable customer data team

Powerful tools to preserve, index, search, review, and produce social media
network postings on demand

Thorough and efficient navigation of recordkeeping, sustainability, and
supervision requirements of FINRA regulatory notice 10-06

5. SUCCESS STORY
SUCCESS STORY

Securities America compliance personnel now accomplish routine supervision
responsibilities in less time

Reduced “false-positive” search results allows Securities America to spend
less of its reviewing efforts inspecting irrelevant messages

Data production requests are handled with greater ease

Supervision efficiency with social media has prompted Securities America’s
migration to Smarsh for email archiving

6. SUCCESS STORY
“We selected Smarsh for
the functionality
provided, ease of use and
commitment to support.”
Doreen Griffith
Executive Vice President and Chief Information Officer,
Securities America
“The initial setup gave us confidence in both the
company and the tool itself.
When we got the Smarsh solution up and
running, our job got easier.”
Ryan Boozikee
Compliance Manager, Securities America

7. THE ARCHIVING PLATFORM
EMAIL
IM
SOCIAL
MOBILE
WEB
VOICE

8. Want to see more?
Visit our website
Or contact us for a live demonstration:
Email: sales@smarsh.com
Phone: 1-866-762-7741
facebook.com/SmarshInc
@SmarshInc
Linkedin.com/companies/smarsh