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Financial Planning
July 1, 2011
Donna Mitchell
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value. mark for My Articles similar articles
Investment Advisor
April 21, 2011
John Sullivan
Commonwealth Financial to Allow Rep Access to Social Media Beginning in early June of 2011, it would allow its advisors to use social media, including Facebook, Twitter, LinkedIn and blogs. mark for My Articles similar articles
Financial Advisor
March 2010
Joel P. Bruckenstein
Beware The Pitfalls The advantages of social media for advisors are being trumpeted loudly, but the risks are heard less. mark for My Articles similar articles
Investment Advisor
June 10, 2011
Janet Levaux
BDs Beware: Banning Facebook Is Bad Policy, Says Socialware's Chad Bockius Socialware CEO says that prohibiting use of Facebook, Twitter and LinkedIn might lead to financial advisors switching firms. mark for My Articles similar articles
On Wall Street
March 1, 2010
Mark Astarita
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites. mark for My Articles similar articles
Financial Advisor
July 2010
Andrew Gluck
A New Era With broker-dealers now starting to embrace social media, advisors have many more ways to market their firms. mark for My Articles similar articles
Registered Rep.
May 2, 2011
Kristen French
Raymond James, Commonwealth to Give FAs Free Reign on Social Media In other words, they will be able to post tweets, updates and comments that have not been pre-approved in real time. mark for My Articles similar articles
Financial Advisor
March 2012
Gail Liberman
Social Media Hurdles Some advisors are using social media for marketing, but many haven't spent much time using it because of compliance issues. mark for My Articles similar articles
Bank Technology News
March 2010
Michael Sisk
How to Stay Online and Inbounds Combine the fast, freewheeling world of social networking sites with the conservative, highly regulated world of financial advice and the reconciliation is bound to awkward. mark for My Articles similar articles
Financial Advisor
July 2011
David Lawrence
Learning To Socialize Integrating social media into your advisory practice takes careful evaluation to get the most from what it has to offer. mark for My Articles similar articles
Registered Rep.
March 3, 2010
Kristen French
New Social Networking Site Targets FAs LinkedFA is a new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors. mark for My Articles similar articles
Investment Advisor
August 2010
Marlene Y. Satter
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns Loom As FINRA notes, social media is no longer a trivial pursuit for advisors. And as they've grown more complex, the need to consider compliance issues for all communications on social media has grown from mere prudence to a necessity. mark for My Articles similar articles
Registered Rep.
September 19, 2011
Diana Britton
More Advisors Using, Prioritizing Social Media, Survey Says Not only are more advisors using social media for business purposes, but more are making it a priority. mark for My Articles similar articles
Registered Rep.
July 27, 2011
Diana Britton
NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients. mark for My Articles similar articles
Financial Advisor
June 2009
Andrew Gluck
Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking. mark for My Articles similar articles
Financial Planning
July 1, 2013
Joel Bruckenstein
Tech Review: New Digital Content Services Two new services allow advisors to deliver online content to clients and prospects via social networks. mark for My Articles similar articles
Financial Planning
December 1, 2009
Chris Hall
Socially Adept Participation in social media -- LinkedIn, Facebook, Ning, Groupsite, Twitter, blogs, YouTube -- is now a workplace reality. mark for My Articles similar articles
Investment Advisor
March 2010
James J. Green
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. mark for My Articles similar articles
Bank Technology News
May 2011
Clara Shih
5-Step Social Media Plan With more than 800 million active users across Facebook, LinkedIn, and Twitter, social media cannot be ignored. Financial institutions must adapt or face mass customer migration. mark for My Articles similar articles
Financial Planning
October 1, 2006
John E. Gebauer
Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help. mark for My Articles similar articles
On Wall Street
October 1, 2013
Alix Stuart
A Social Media Presence May Enhance Business Now that advisors are (finally) allowed to use it, social media is finding its place in the marketing arsenal. mark for My Articles similar articles
Investment Advisor
August 2005
Thomas D. Giachetti
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. mark for My Articles similar articles
Registered Rep.
June 16, 2011
Diana Britton
Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter. mark for My Articles similar articles
Registered Rep.
November 18, 2010
Diana Britton
A Tweet Here, a Few More Million Assets There The financial industry's social media interaction is mostly around telling people about the organization, not around engaging the customer. mark for My Articles similar articles
On Wall Street
May 1, 2010
Gerri Leder
Keeping In Touch And Getting New Business With Social Media Personal use of Facebook and business use of LinkedIn are converging, sometimes leading to new business and sometimes just rekindling relationships with acquaintances who might otherwise be lost. mark for My Articles similar articles
Registered Rep.
October 31, 2014
Megan Leonhardt
The Lost Opportunity Despite the greater freedom and advantages using the tools can bring, only 53 percent of advisors at RIA firms are using social media for business. mark for My Articles similar articles
Investment Advisor
July 2006
Thomas D. Giachetti, esq.
Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call. mark for My Articles similar articles
Registered Rep.
July 8, 2011
Lauren Barack
AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook. mark for My Articles similar articles
Financial Planning
March 1, 2005
Andrew Miller
You've Got Mail A new compliance rule involving financial advisers and broker-dealers raises a host of questions about recordkeeping and e-mail retention. mark for My Articles similar articles
Registered Rep.
December 16, 2011
Diana Britton
Social Media Archiver Erado to Expand Globally Erado, which provides social media compliance and archiving software for broker/dealers, plans to expand its operations into Western Europe, Canada and possibly Japan next year, and expects to add at least 30 new employees in 2012. mark for My Articles similar articles
Registered Rep.
September 7, 2011
Diana Britton
Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments. mark for My Articles similar articles
Financial Planning
June 1, 2011
John Comer
Linking In When you talk about social media, Facebook and Twitter tend to get most of the buzz. But many financial advisors might not realize that another network may generate better results: LinkedIn. mark for My Articles similar articles
Registered Rep.
March 29, 2012
Jerry Gleeson
Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows. mark for My Articles similar articles
Financial Advisor
March 2012
David Lawrence
Creating A Social Media Policy Financial advisors are wise to embrace the new communication medium. But, there are a number of issues to be addressed as they embark on a communications strategy. mark for My Articles similar articles
Investment Advisor
June 2009
Thomas D. Giachetti
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures. mark for My Articles similar articles
Registered Rep.
October 27, 2011
Kristen French
Momentum Building for Social Media Adoption in Financial Services Financial firms that are using social media are not talking about their products or engaging their customer base. mark for My Articles similar articles
Investment Advisor
February 2008
Thomas D. Giachetti
Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better. mark for My Articles similar articles
Financial Advisor
June 2011
Michael W. Byrnes
Social Media Networking Becomes Even More Important Whether a believer or disbeliever in the power of social media, it is important to see the trends and know how business will be impacted. This article shares three things to keep up with as the industry evolves. mark for My Articles similar articles
Financial Advisor
March 2012
Mike Byrnes
Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations. mark for My Articles similar articles
Registered Rep.
December 15, 2010
Jerry Gleeson
A New Role for Top MSSB FAs: Bloggers Mike Ross, a portfolio manager at Morgan Stanley Smith Barney who oversees $500 million with a partner, now has a new role: wirehouse blogger. mark for My Articles similar articles
Financial Planning
October 1, 2010
Brian Hamburger
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. mark for My Articles similar articles
Bank Director
2nd Quarter 2011
Naomi Snyder
Social Anxiety Banks have been wary of the social media revolution. Their customers are giving them little choice but to embrace the cacophonic world of tweets, blogs and Facebook. mark for My Articles similar articles
Registered Rep.
March 13, 2012
Lauren Barack
Tongue-tied Advisors Even if they have their firms' permission to tweet, a technology platform up and compliance guidelines in place, the fear that they will "do it wrong" keeps many financial advisors from participating. mark for My Articles similar articles
Wall Street & Technology
May 30, 2007
Melanie Rodier
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending. mark for My Articles similar articles
Financial Advisor
September 2011
Michael W. Byrnes Jr.
Is Google+ Really A Plus? Just as financial advisors were starting to figure out LinkedIn, Facebook and Twitter, the social space just got more complicated. Here are insights on using Google+. mark for My Articles similar articles
Investment Advisor
August 2006
Thomas D. Giachett
Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process. mark for My Articles similar articles
Registered Rep.
August 19, 2011
Kevin Nichols
Five Tactics for Leveraging Social Media in Volatile Markets The following are five social media tactics forcommunicating your calm presence, bolstering your brand and simultaneously finding new prospects in tough times. mark for My Articles similar articles
Financial Advisor
March 2005
Tracey Longo
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. mark for My Articles similar articles
Registered Rep.
October 19, 2011
Diana Britton
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages. mark for My Articles similar articles
Financial Advisor
July 2011
Frontline News Advisors Using Fewer Asset Managers... The New CFPs... Avoid The Analyst Herd... etc. mark for My Articles similar articles