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 ‘Recordkeeping’
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.
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.
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.
SEC Swept Up by Social Media (PART 2)
For Part 2 of our discussion on the SEC social media sweeps letter I’d like to address the following questions that I suspect many of you are asking:
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.
IIROC Publishes Social Media Notice
This week started off with the Investment Industry Regulatory Organization of Canada (IIROC) releasing updated guidelines for the review, supervision and retention of advertisements, sales literature and correspondence.
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.
Webcast: FINRA Conference Recap on Social Media
Last week FINRA held their Annual Conference in Baltimore. One of the most heavily attended sessions was the discussion on social media and Notice 10-06. Here is how FINRA described the session: “This session addresses supervision of social media, including third-party networks, firm sponsored communities and blogs. Industry panelists discuss FINRA Regulatory Notice 10-06, what [...]
Top social media myths in the financial industry
Financial Marketing and Communications firm Ledermark, recently released a survey on financial services professionals use of Social Media to network and gain business. The findings are interesting and I will quote many of them here. The more interesting part is that it got me thinking about all the social media myths floating around out there [...]