Compliant Social Media Marketing Solutions for Financial Advisors
Remember the first years of the Internet Age? Those pesky dial up connections; AOL’s “you’ve got mail” tag line; the slough of what we now consider primitive websites? As of 2012, we are amidst the baby stages of a similar social media age - parallel to the initial birth of the Internet, a revolutionary shift […]
As 2011 comes quickly to a close, I sat wondering what I’d write about for our final blog of the year. After much contemplation, I decided to compile a list of our most popular blog posts based on their share rate and reader views (thanks to ProducersWeb). It’s been quite a year for social media […]
I attended a great webinar last week put on by Socialware: 2011 Year in Review: Social Media in Financial Services. Not only did the webinar recap and discuss some of the key highlights and trends throughout 2012, including new regulatory guidance like FINRA Notice 11-39 and large firms announcing their move from prohibition to participation, […]
When Morgan Stanley Smith Barney announced in May that it will allow its 17,800 financial advisers to use Twitter in October, I said it was a breakthrough. Here was a major Wall Street wirehouse recognizing that the social media revolution was real and that it had to be part of it. I took a few arrows for […]
There’s usually one in every company. The cowboy. He’s got a swagger in his walk and a smirk in his talk. He gives lip-service to the rules because he’s smarter than the rest of us. He’s too full of testosterone or maybe a deep-seated desire to get daddy’s attention. Who knows what really motivates him? If you’ve got one […]
a new set of rules, but rather acts as an addendum to Notice 10-06) Recordkeeping. The obligations of a firm to keep records of communications made through social media depend on whether the content of the communication constitutes a business communication. The key to this statement is ensuring that every firm determines what is and […]
Most mid-sized securities firms are struggling to understand how to use Facebook in their business. They know that Millennials, affluent investors, and the rest of American industry are way ahead of them in its adoption. But they’re worried that examiners from FINRA or the SEC could ask questions that they don’t know how to answer, resulting in disciplinary […]
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