Posts Tagged ‘SEC’
Announcing the launch of SocialTurns.com
I am excited to announce the launch of a new community, called SocialTurns.com. The site is designed for financial professionals to discuss social media issues, best practices and news.
Just Released: Facebook Social Networking Guide
By now we all know that Facebook’s growth is off the charts. They are getting ready to announce that they have reached they half a billion mark. That’s right, 500,000,000 users. That is almost twice the size of the population of the United States.
LiveOffice and Socialware Partner
We are excited to announce a strategic partnership with LiveOffice, the number-one provider of software-as-a-service (SaaS) email archiving, email compliance and email continuity solutions. Through this partnership LiveOffice is now able to offer their customers an integrated email, social media compliance & archiving solution.
6.5 things you may have missed about LinkedIn
The social network we all know and love, LinkedIn, has been busy making improvements lately. They have quietly grown to over 70 million users and it appears that steady slow growth we are used to is accelerating. If you haven’t been following all the news here are 6 things you may have missed, plus a [...]
New Survey Published on Advisor’s Use of Social Media
Last week we unveiled the results of our 2010 Advisor Survey – An Examination of Social Media Use by Financial Advisors across North America. As part of this survey we set out to answer the following questions: What percentage of advisors use social media for business purposes? Are firms taking the necessary steps to support [...]
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 [...]
Center for Due Diligence Interview
In preparation for the CFDD’s New Age Marketing Advisor Conference I did a short interview which you can hear below. // Some of the topics discussed were: – Implications and questions of FINRA Notice 10-06 for financial advisors. – Whether or not financial advisors will get value out of social networks. – How you should [...]
LinkedIn Compliance Self-Assessment – Are you at Risk?
In the last few months we’ve heard a common refrain from financial industry professionals regarding LinkedIn. Things like: “We aren’t allowed to use social networks but we can use LinkedIn” “Our firm allows us to use LinkedIn but the activity isn’t monitored” “LinkedIn doesn’t fall under Notice 10-06” “We prohibit use, and our employees follow [...]
Smarsh and Socialware Partner
We are very excited to announce a new partnership with Smarsh, a managed-service leader in email archiving and compliance solutions. Together with Socialware, Smarsh can now offer an integrated solution for messaging and social media compliance. Some of you reading this may wonder, what does email archiving have to do with social media? As it [...]
Webinar: Social Media, Can Advisors Afford to Miss It?
Much has been discussed in the industry around Financial Advisor’s use of social media. Should they use it? Is it valuable? What are the risks? What are the compliance issues? Can we afford to wait? Join us June 2nd at 11am EST as we participate in an interactive roundtable panel with other industry experts from [...]



