SocialwareSocialware Blog
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Webinar Series: Four Steps to LinkedIn Success
January 31, 2012 07:01 -
Social Media for RIAs in Massachusetts: The Fourth Castle
January 24, 2012 11:01 -
It’s Not Just Social Media: You Want Social CONNECTION
January 20, 2012 12:01 -
How CIOs and Other IT Leaders Can Enable Social Business
January 19, 2012 12:01 -
Financial Professionals Must Work Social Media To See Real Results
January 17, 2012 12:01
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Terrance Blessing:
Great! Very excited to get going. -
Brent Carnduff:
Great article! Very simple and straight forward! -
Adam Cohen:
Tim, thanks again for including me. I think the challenge of teams working arou -
victor gaxiola:
2011 was an eventful year for financial social media, and I anticipate 2012 will -
Timothy E. Walker:
Excellent coverage and advice! It's too bad that a few "bad eggs" make life har
SocialTurns
Archive for the ‘Compliance’ Category
Social Media for RIAs in Massachusetts: The Fourth Castle
Now we have both the SEC and the Commonwealth of Massachusetts issuing guidance for Registered Investment Advisors. We have seen securities regulators, insurance regulators, and now RIA regulators all say the same things: Yes, social media is an exciting new form of communication. Yes, we will apply existing rules to this new technology.
FINRA Opens Door for Social Media with New Rules
FINRA has modified its approach to social media messages by financial advisors, proposing to narrow the categories of messages that require post-use filing. This should help both advisors and their firms embrace social media with less worry about compliance burdens.
SEC Clarifies Stance on Social Media, Takes Action to Punish Social Network-Based Fraud
The SEC made news this week with two moves on the social media front. First, it issued three alerts aimed at helping investors and financial services firms understand the risks associated with social media use. Second, it brought charges against a financial advisor in Illinois whom the SEC alleges committed fraud through postings on LinkedIn.
IIROC Updates Social Media Guidelines
2011 has been a busy year for the regulators. Our neighbor to the North has just issued Notice-0349, which outlines Guidelines for the Review of Advertisements, Sales Literature and Correspondence. This update from the Investment Industry Regulatory Organization of Canada (IIROC) replaces Notice MR0281 and is effective immediately.
Proposed FINRA Rule Changes Delayed
While firms aren’t delaying their move to social in anticipation of these rule changes, it appears we will have to wait to get the official SEC stamp of approval.
Content is king (but not why you might think)
We’ve talked a lot about the issues surrounding social network adoption in financial services. We’ve dedicated entire whitepapers to understanding Notice 10-06, or the latest moves by the SEC or state regulators.
FINRA Notice 11-39 Highlights
This past Thursday FINRA took another step towards helping firms adopt social with the release of Notice 11-39. Just like Notice 10-06, this release is aimed at addressing specific questions being raised by the industry.
FINRA Proposes New Content Rules
A few days ago FINRA submitted to the SEC proposed rule changes regarding communications to the public. The goal of the changes is to simplify and consolidate many of the existing rules.
6 Keys to Social Media Compliance
What does it mean to meet the compliance bar for social media use in financial services? While most now know about FINRA 10-06, there are often questions about what it takes to be compliant.
Compliance leaders in financial services – you are not alone!
In an ever-changing landscape where shades of grey define the world facing today’s financial services compliance leaders, how valuable would it be to talk with others in your same position and ask, “What are you doing about this?”