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
Posts Tagged ‘FINRA’
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.
Social Business — Navigating 2012
The entire social media landscape has evolved quickly on the regulatory front, the technology front, and also very importantly, best practices as financial advisors develop new and strengthen existing business relationships with social media.
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.
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.
Networking on Social Media
With numerous industry conferences this fall with dedicated conversations about social media, our team is looking forward to many opportunities to speak with future and current customers.
What is the real impact of social media for financial advisors?
In 2010, the Socialware team conducted a survey of financial advisors to learn more about the use of social media for business, the challenges they faced, and more. We just released the 2011 version of the survey results with even more data.
5 must read social media articles
The news regarding social media, particularly in financial services, continues to surround each of us. In recent weeks, there have been updates on the regulatory front, companies launching enterprise social media programs, tips and best practices shared to navigate the world of social media, and more.
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.