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On Wall Street
March 1, 2010
Mark Astarita |
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites.   |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
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. |
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. |
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. |
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
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. |
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. |
Financial Advisor
January 2012
Brian Hamburger |
Who Will Start The Revolution? Big firms give "Big Brother" nod to social media. |
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. |
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. |
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. |
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. |
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.
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. |
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. |
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 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.
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. |
InternetNews
April 20, 2010 |
Social Networking Guide for the Enterprise Popular social networking sites like Facebook and Twitter can be great for business but things can get out of control if the proper policies aren't in place and enforced. |
Financial Advisor
June 2009
Andrew Gluck |
Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking. |
Job Journal
August 10, 2008
James E. Challenger |
Are Social Networking Sites Good for Business? One in four employers bans workplace access to social networking sites like MySpace and Facebook, claiming the sites are a major drain on worker output. However, signs indicate social networking could be the next step in business evolution. |
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. |
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. |
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. |
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. |
On Wall Street
March 1, 2013
Kenneth Corbin |
FINRA Cracks Down on Suitability Broker-dealers and advisors recommending complex, high-yield products to see more scrutiny. |
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.
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. |
InternetNews
August 6, 2009 |
Survey: Businesses Lack Social Media Policies Companies are eager to use social media but too many are reluctant to police their use. |
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. |
InternetNews
August 17, 2010 |
FaceTime Service Locks Down Social Nets The enterprise security firm unveils a new SaaS offering for helping enterprises manage employees' use of Facebook, Twitter and similar services. |
Financial Planning
December 1, 2010
Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers. |
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. |
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. |
Financial Advisor
January 6, 2010 |
Frontline News Private-Placement Claims Surge... Holding Companies Holding On... Thin Wallets... Average Withdrawal Rates Decrease... UMAs Slow To Win Fans... |
Registered Rep.
December 21, 2011
Diana Britton |
Aite: Bloom Coming Off the Rose of Social Media? Financial advisors are just getting started, and already, the bloom seems to be coming off the rose, Aite Group says. |
Registered Rep.
October 27, 2011
Kristen French |
Momentum Building for Social Media Adoption in Financial Services Financial firms that are using social media are not talking about their products or engaging their customer base. |
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. |
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. |
Pharmaceutical Executive
February 1, 2012
Jennifer Ringler |
Industry Trees are Falling, But is FDA Around to Hear? Experts weigh in on FDA's long-awaited social media guidelines. |
Financial Planning
July 1, 2012
Bob Veres |
Gaps of Logic FINRA has been an effective bludgeon against the small independent B-D world, creating paperwork requirements whose costs are best amortized over larger hordes of retail advisors. |
CIO
November 4, 2008
Kim S. Nash |
Managing the Social Networking Data Sieve Four steps to containing the legal risks of social sites. |
Financial Advisor
June 2012
Jim McConville |
Advisor Groups Renew Challenge To Finra's SRO Cost Estimates A coalition of financial advisor industry groups last month resumed its assault on the Financial Industry Regulatory Authority's cost estimates for creating a self-regulatory organization to review investment advisors. |
On Wall Street
February 1, 2013
Alan J. Foxman |
Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named. |
Search Engine Watch
December 23, 2008
Mark Jackson |
Social Media and SEO -- Friends with Benefits? For those of you whose responsibilities - either directly or indirectly - involve organic Web site optimization, here's a look at how you can get SEO benefits out of social networking. |
On Wall Street
July 1, 2013
Alan J. Foxman |
Rebuilding Your Career After FINRA Sanctions Our legal expert discusses how to deal with FINRA investigation. |
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. |
Entrepreneur
July 2008
John Jantsch |
Social Butterfly Work the social networking scene to get the most out of your online presence for your small business. |
Entrepreneur
September 2009 |
The Twittering Class How social media can elevate your company's online cred. |
