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 ‘Notice 10-06’
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 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.
Massachusetts scrutinizes advisers and social media
The Securities Division of The Office of the Secretary of the Commonwealth released a new survey on social media use by investment advisers doing business within the Commonwealth.
SEC Swept Up by Social Media (PART 1)
There has been a lot of buzz lately about the regulatory happenings in the financial sector. No, this isn’t about Dodd-Frank, this is about Social Media.
FINRA Digs Deeper on Social Media
There has been a lot of regulatory news regarding social media lately. IIROC issued their draft notice to account for social media. The SEC sent out a Sweeps letter. And now FINRA is going to re-open up the discussion on social media in 2011.
2010: Social Media & Financial Services (a look back)
We’ve rung in the New Year and with the finalizing of 2011 goals and priorities it is worth taking a step back to see how exactly we got here.
FINRA Starts Social Media Audits
This past week we’ve heard multiple stories of FINRA starting to audit social media usage across regulated firms. The most interesting example we heard was of a FINRA auditor delivering printouts of LinkedIn profiles from registered reps of a firm.
The future of FINRA social media fines
As I was reading a blog post regarding MetLife’s $1.2mm fine from FINRA for failure to implement supervisory systems required to meet compliance obligations, I couldn’t help but see the foreboding for social media and this industry.
FINRA Webinar: Compliance Considerations for Social Networking Sites
If you happened to miss it, FINRA hosted the Social Networking Compliance webinar this afternoon. Here is a summary from their site on what was scheduled to be discussed: “This webinar covers compliance and regulatory considerations when using social networking sites to communicate firm business. With the advent of Facebook, LinkedIn, MySpace and Twitter, business [...]