State Regulator Goes After Unregistered Rep, Fines Funds $250,000
Massachusetts says 144 residents, mainly seniors, were sold "risky securities."
Social Media Good for Clients, Advisors
Social Media Is Key to Humanizing Financial Services: SIFMA Seminar
Helping investors is "sexy," and social media helps build trust, execs from Facebook, LinkedIn and Hearsay Social said at a SIFMA seminar.
FINRA Targeting Firms’ Social Media Use
FINRA is conducting spot checks of firms’ social media communications on Facebook, Twitter, LinkedIn and blogs.
Social Media: What Is It Good For?
Ignore the hype, suggests veteran advisor Jim Pierson, and focus on where social media fits into your overall strategic marketing plan. Better set up policies and procedures as well.
FINRA Backs Off on Social Media Reporting for BDs
FINRA has at least partially bowed to comments from member firms and decided not to require social media postings to be regarded as subject to a post-use filing requirement.