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Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.   |
Bank Technology News
March 2010
Michael Sisk |
How to Stay Online and Inbounds Combine the fast, freewheeling world of social networking sites with the conservative, highly regulated world of financial advice and the reconciliation is bound to awkward. |
Financial Advisor
March 2010
Joel P. Bruckenstein |
Beware The Pitfalls The advantages of social media for advisors are being trumpeted loudly, but the risks are heard less. |
Bank Technology News
May 2011
Clara Shih |
5-Step Social Media Plan With more than 800 million active users across Facebook, LinkedIn, and Twitter, social media cannot be ignored. Financial institutions must adapt or face mass customer migration. |
Financial Planning
July 1, 2011
Donna Mitchell |
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value. |
Financial Advisor
January 2012
Brian Hamburger |
Who Will Start The Revolution? Big firms give "Big Brother" nod to social media. |
Registered Rep.
March 3, 2010
Kristen French |
New Social Networking Site Targets FAs LinkedFA is a new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors. |
Registered Rep.
June 16, 2011
Diana Britton |
Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter. |
On Wall Street
May 1, 2010
Gerri Leder |
Keeping In Touch And Getting New Business With Social Media Personal use of Facebook and business use of LinkedIn are converging, sometimes leading to new business and sometimes just rekindling relationships with acquaintances who might otherwise be lost. |
Investment Advisor
June 10, 2011
Janet Levaux |
BDs Beware: Banning Facebook Is Bad Policy, Says Socialware's Chad Bockius Socialware CEO says that prohibiting use of Facebook, Twitter and LinkedIn might lead to financial advisors switching firms. |
Registered Rep.
September 19, 2011
Diana Britton |
More Advisors Using, Prioritizing Social Media, Survey Says Not only are more advisors using social media for business purposes, but more are making it a priority. |
Registered Rep.
May 2, 2011
Kristen French |
Raymond James, Commonwealth to Give FAs Free Reign on Social Media In other words, they will be able to post tweets, updates and comments that have not been pre-approved in real time. |
On Wall Street
March 1, 2010
Alan J. Foxman |
When Is A Blog Really An Ad? Readers write in with regulatory questions that affect financial firms and advisors. |
Financial Advisor
March 2012
Gail Liberman |
Social Media Hurdles Some advisors are using social media for marketing, but many haven't spent much time using it because of compliance issues. |
Financial Advisor
July 2011
David Lawrence |
Learning To Socialize Integrating social media into your advisory practice takes careful evaluation to get the most from what it has to offer. |
Registered Rep.
July 8, 2011
Lauren Barack |
AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook. |
Registered Rep.
June 1, 2008
Bill Singer |
You've Got Mail Amidst industry demands for clarity, FINRA recently published Regulatory Notice 07-49: Supervision of Electronic Communications. Read on for more details. |
Investment Advisor
April 21, 2011
John Sullivan |
Commonwealth Financial to Allow Rep Access to Social Media Beginning in early June of 2011, it would allow its advisors to use social media, including Facebook, Twitter, LinkedIn and blogs. |
Financial Advisor
July 2010
Andrew Gluck |
A New Era With broker-dealers now starting to embrace social media, advisors have many more ways to market their firms. |
Registered Rep.
September 7, 2011
Diana Britton |
Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments. |
Investment Advisor
August 2010
Marlene Y. Satter |
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns Loom As FINRA notes, social media is no longer a trivial pursuit for advisors. And as they've grown more complex, the need to consider compliance issues for all communications on social media has grown from mere prudence to a necessity. |
Registered Rep.
May 25, 2011
Lauren Barack |
Morgan First On Wall Street to Crack Social Media Code Morgan Stanley is in the process of testing a pilot program that would allow its financial advisors to interact with clients and others on social media websites Twitter and LinkedIn. |
Registered Rep.
July 27, 2011
Diana Britton |
NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients. |
Financial Planning
October 1, 2006
John E. Gebauer |
Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help. |
Registered Rep.
February 14, 2014
Patrick Mahoney |
Both Costly and Ineffective? This week FINRA's Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to "include a readily apparent reference and link to BrokerCheck" on their websites. |
On Wall Street
April 1, 2011
Alan J. Foxman |
The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV... |
Financial Planning
June 1, 2011
John Comer |
Linking In When you talk about social media, Facebook and Twitter tend to get most of the buzz. But many financial advisors might not realize that another network may generate better results: LinkedIn. |
Bank Director
2nd Quarter 2011
Naomi Snyder |
Social Anxiety Banks have been wary of the social media revolution. Their customers are giving them little choice but to embrace the cacophonic world of tweets, blogs and Facebook. |
Financial Planning
December 1, 2009
Chris Hall |
Socially Adept Participation in social media -- LinkedIn, Facebook, Ning, Groupsite, Twitter, blogs, YouTube -- is now a workplace reality. |
IndustryWeek
May 18, 2011 |
Social Media: Navigating the Legal Perils A disciplined approach to Facebook, Twitter and other social media helps companies benefit from these networks while minimizing the chances of costly information leaks. |
Registered Rep.
October 19, 2011
Diana Britton |
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages. |
Registered Rep.
November 18, 2010
Diana Britton |
A Tweet Here, a Few More Million Assets There The financial industry's social media interaction is mostly around telling people about the organization, not around engaging the customer. |
Registered Rep.
June 19, 2012
Diana Britton |
Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors. |
Registered Rep.
October 21, 2011
Diana Britton |
Nature of the Biz? Insurance Advisors Ahead of the Pack On Social Media Among financial advisors, insurance advisors are most likely to use social media for business purposes and most likely to have landed clients through social media. |
Registered Rep.
April 15, 2015
Megan Leonhardt |
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks. |
Registered Rep.
December 16, 2011
Diana Britton |
Social Media Archiver Erado to Expand Globally Erado, which provides social media compliance and archiving software for broker/dealers, plans to expand its operations into Western Europe, Canada and possibly Japan next year, and expects to add at least 30 new employees in 2012. |
Registered Rep.
October 3, 2011
Diana Britton |
Future of Social Media Regulation Will Be Shaped By `Poster Children' The industry will shape the future of social media regulation, as FINRA auditors get out in the field and see how reps are using social media, said Stephen Selby, director of regulatory services for LIMRA, during a webinar Friday afternoon. |
Registered Rep.
February 15, 2012
Joshua Brown |
Reformed Broker: Social Media - Can FA's Maintain Authenticity? As a Financial Advisor who's had a great deal of success using social media, I know firsthand how much work goes into it so I'm not surprised to hear that only a handful of adopters are seeing much traction. |
Registered Rep.
March 29, 2012
Jerry Gleeson |
Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows. |
On Wall Street
October 1, 2008
Alan J Foxman |
Heightening Supervision Advisory firms have flexibility in creating plans to supervise brokers who have a history of complaints or disciplinary issues. |
Registered Rep.
April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over. |
Financial Planning
July 1, 2013
Joel Bruckenstein |
Tech Review: New Digital Content Services Two new services allow advisors to deliver online content to clients and prospects via social networks. |
Financial Planning
August 1, 2006
Marianne Czernin |
Compliance Tips Spotlight on Your Email: NASD Rule 3010 requires all broker-dealers to develop appropriate supervisory policies that prohibit registered representatives from electronically corresponding with the public, unless the communications are subject to those supervisory and review procedures. |
Financial Advisor
June 2009
Andrew Gluck |
Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking. |
Registered Rep.
September 3, 2013
Lauren Barack |
When Social Media Backfires Clueless advisors on social media can lead to embarrassment, fewer clients and even regulatory fines. Be careful out there. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
BusinessWeek
May 27, 2010
Ari Levy |
Twitter Cracks Down on Third-Party Ads Websites and mobile-phone apps have consolidated tweets with streams of messages from Facebook, LinkedIn, and other social networks. Twitter is putting an end to that. |
Financial Planning
May 1, 2012
Jennifer Woods Burke |
Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits. |
On Wall Street
December 1, 2009
Mark Astarita |
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
