Comments on: FINRA Issues Guidance to Firms, Brokers on Communications with Public Through Social Networking Web Sites

By: FP Pad » Blog Archive » Independent Broker/Dealers Warming Up To Social Media

Fri, 18 Jun 2010 19:33:23 +0000

[...] Like it or not, social media in financial services has been a recurring topic in the industry this year. The big question for FINRA-regulated registered representatives and SEC-regulated investment advisers is how to engage in social media activities without violating compliance rules (even after FINRA released its guidance on using social networking websites). [...]

By: FP Pad » Blog Archive » Smarsh, Socialware Partner to Command Social Media Compliance Market

Tue, 04 May 2010 14:52:21 +0000

[...] So I view the partnership as a very promising relationship in support of an all-in-one social media compliance solution to satisfy FINRA and SEC regulatory requirements. [...]

By: FP Pad » Blog Archive » FPA of Maryland Webinar to Address Compliance Issues of Social Media

Sun, 21 Mar 2010 04:01:35 +0000

[...] FINRA’s issuance of regulatory guidance on the use of social media, advisors still have many questions about what can and cannot be done on [...]

By: Bill Winterberg

Bill Winterberg — Tue, 16 Feb 2010 16:21:10 +0000

@Adam,

I really like your post that summarizes the seven main highlights of the webinar. Excellent work capturing the essence of the guidelines issued by FINRA.

If you haven’t done so already, go read Adam’s post now!

Bill

By: Adam

Adam — Tue, 16 Feb 2010 15:46:30 +0000

In listening to the FINRA webcast, there were 7 main highlights.

The 7 main highlights are covered here: http://bit.ly/cZ1O1Q

By: Compliance Resources for Social Media Marketing « Financial Marketing Wire: Presented by Kristen Luke

Mon, 01 Feb 2010 02:45:23 +0000

[...] Bill Winterberg, FP Pad [...]

By: Chad Bockius

Chad Bockius — Tue, 26 Jan 2010 14:13:42 +0000

Firms interested in learning more should check out the Companion Guide to FINRA Social Networking Compliance http://bit.ly/8xT73y. It picks up where Notice 10-06 leaves off, offering additional detail on social networking considerations and a checklist of requirements for choosing a social networking compliance vendor.

By: FINRA Issues Guidance on Social Networking Sites | Compliance Building

FINRA Issues Guidance on Social Networking Sites | Compliance Building — Tue, 26 Jan 2010 13:01:20 +0000

[...] FINRA Issues Guidance to Firms, Brokers on Communications with Public Through Social Networking Web … by Bill Winterberg for FP Pad Share and save: [...]