Socialware Blog

Posts Tagged ‘SEC’

SEC Swept Up by Social Media (PART 2)

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:

Socialware and LinkedIn to tackle Financial Services

Socialware and LinkedIn to tackle Financial Services

Today Socialware and LinkedIn announced a new relationship to unlock social media for financial services organizations.

SEC Swept Up by Social Media (PART 1)

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

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)

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.

The 100 million dollar tweet

The 100 million dollar tweet

Reports have indicated that a major investment-banking firm was removed from the GM IPO due to a note sent by a senior analyst the night before GM filed terms for its $13 billion initial public offering.

FINRA Starts Social Media Audits

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.

New York Life “gets” social with Socialware

New York Life “gets” social with Socialware

Today Baseline Magazine released an article on the efforts of New York Life to move from prohibition to participation in the world of social media. Recently recognized by FORTUNE as one of the world’s most admired companies in 2010, New York Life is now directing their innovation towards the social frontier.

Accelerate the creation of your social media policy

Accelerate the creation of your social media policy

Adopting social media can be a daunting task for any business. If you are in a regulated industry the social media mountain is seemingly insurmountable. Many firms get stuck right out of the gates trying to answer the question of “what should our policy be?”

Announcing the launch of SocialTurns.com

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.