FINRA

Preparing for FINRA Spot-Checks: 3 Simple Steps to Social Compliance

June 25, 2013 by RegEd

The Financial Industry Regulatory Authority (FINRA) announced yesterday that it is conducting spot-checks on social media communications such as Facebook, Twitter, LinkedIn and blogs. According to FINRA Rule 2210(c)(6), each firm’s written (including electronic) communications are subject to a periodic spot-check procedure. FINRA’s Advertising Regulation Department requests that firms provide the following: 1. An explanation […]

Filed Under: Social Media Tagged With: arkovi, blog, compliance, financial advisors, FINRA, social media for financial advisors

10 Social Media Time Savers for Busy Financial Advisors

May 17, 2012 by Amy McIlwain Leave a Comment

Each week, I receive tons of e-mails and phone calls where people helplessly proclaim, “I am so busy, “I am to my knees in deadlines”, “this has been a crazy week”, or my personal favorite, when people just push the “ignore” button. Let’s face it, we’ve all been there because we’re all insanely busy. And […]

Filed Under: Social Media Tagged With: facebook, financial advisors, Financial Services, FINRA, Google Alerts, hootsuite, social media, time saving, TweetDeck, twitter

FINRA Clarifies How Firms Can Use Facebook

September 6, 2011 by ByAllAccounts

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 […]

Filed Under: Social Media Tagged With: facebook, Financial Industry Regulatory Authority, FINRA, linkedin, social media, Social network, twitter, United States

What Financial Professionals Need to Know about Social Media

April 14, 2011 by Amy McIlwain 1 Comment

With social networks growing in number by the second, it’s no wonder why more and more businesses are hopping on the social media bandwagon. What better way to market your company’s brand, create relationships with prospective clients, and nurture your current client relations as well. So why then do two out of three financial professionals […]

Filed Under: Compliance, Facebook, Financial Advisors, LinkedIn, Social Media, Twitter Tagged With: business, facebook, Financial Industry Regulatory Authority, FINRA, Google, linkedin, social media, Social network

What To Do When Your Firm Says No

March 15, 2011 by JoelBeck 1 Comment

So you’re a registered rep. or an advisor who wants to harness the power of social media for business purposes. Maybe you want to raise brand awareness of your business, increase your personal profile, or perhaps start a blog to improve internet visibility and help educate your clients and potential clients. But what do you […]