Marketing and Communications
Explore the latest news about advisor marketing strategies and wealth management communications.
Using Social Media: FINRA's New Compliance Guidelines
By Heather TreseIn order to help agents navigate the murky waters of social media compliance, FINRA has issued Regulatory Notice 10-06, which provides guidance on blogs and social media sites.
April 21, 2010
SEC Charges Goldman Sachs with FraudThe SEC charged Goldman Sachs & Co. (GS&Co), and an employee, Fabrice Tourre, with fraud on April 16, "for making materially misleading statements and omissions in
April 21, 2010
Goldman Sachs, Suitability and the Fiduciary StandardWhat duty does a broker/dealer have when creating securities for clients with opposing interests?
April 20, 2010
ETFs with Goldman Exposure Take Big HitsThe SEC's filing against Goldman Sachs (GS) on April 16 reverberated across Wall Street, as several well-performing banking and diversified financial ETFs with GS exposure got hammered following the announcement.
April 20, 2010
As Goldman Fraud Case Raises SEC Self-Funding Issue and Reform Bill Looms, Schapiro Talks ReformIn exclusive interview, SEC Chairman comments on Dodd bill, fiduciary standard, and SEC staffing
April 19, 2010
Morgan Stanley Hit with Huge Property Fund LossMorgan Stanley expected to lose $5.4 billion, or 61%, of its $8.8 billion Real Estate Fund VI International.
April 14, 2010
Small Firms Lag in U.S. RecoverySmall businesses are not out of the woods in the U.S recession.
April 08, 2010
U.S. IPOs Increased in Q1 2010The number of U.S. initial public offerings (IPOs) surged in the first quarter compared with activity in Q1 2009, according to Hoover's.