Tag Archives: Social Media

FPA of Maryland Webinar to Address Compliance Issues of Social Media

Posted on March 20, 2010 by in Practice Management

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

I’ll be presenting a webinar to the Financial Planning Association of Maryland to address the compliance issues of using social media and networking websites.

I’ll be joined by Adam Schaub, CFP®, Compliance Manager for 1st Global in Dallas, TX. Topics covered will include:

  • Documentation of policies and procedures
  • Summary of regulatory guidance
  • Supervision and record retention
  • Overview of compliance tools and utilities

The webinar will be held on Thursday, April 1, 12:00PM EDT. FPA of Maryland members can attend for $20, all others can attend for $30.

Click here for the event PDF brochure. |  Click here to register.

Follow the TD AMERITRADE Institutional Conference Twitter Backchannel

Posted on February 3, 2010 by in General

I’ll be appearing this Friday on a panel titled Leveraging Social Media to Grow Your Business at the TD AMERITRADE Institutional 2010 National Conference in Orlando, FL.

Click here to view the entire conference agenda.

I’ll be attending the conference all day Friday and will attend the ethics CE session Saturday morning (my CFP® certification renewal is due at the end of this month!). So if you see me, stop me and introduce yourself. Don’t know what I look like? Check my bio for a photo.

Also, if you’re interested in my other upcoming presentations, please check out my speaking page.

Finally, I complied a list of conference attendees on Twitter, so check it out to see who’s tweeting from the event. Most are using the #TDA2010 hashtag to identify conference-related tweets.

See you there!

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

Posted on January 25, 2010 by in Technology

That’s right, FINRA just released guidance on the use of social media webistes!

Click here to read the release on FINRA’s website.

Here are several links to coverage, reviews, and feedback by folks I follow in the blogosphere and social media space:

FINRA Beating SEC on Social Networking Guidelines

Posted on October 21, 2009 by in Compliance

Like them or not, FINRA is getting the jump on the SEC over issuing guidelines to registered representatives regarding the use of social networking.

FINRA is offering a compliance webinar on December 16, 2009 to cover “compliance and regulatory considerations when using social networking sites to communicate firm business.”

Why FINRA decided to charge $50 for members and $100 for non-members is beyond me. I would think they would want to make this information free to increase compliance with the guidelines set by FINRA. I digress.

Read More…

Another Twitter Archive Service Offers Social Media Compliance

Posted on June 24, 2009 by in Software

Following on Monday’s post regarding LifestreamBackup, I learned of another service that is designed to capture and archive messages posted through Twitter.

CagedTweets is another utility that captures and archives comments posted on Twitter. Customers have three options of service depending on the number of Twitter accounts to be archived. Archiving of one account runs $50 and covers 3 years of service (I think), ten accounts runs $100, and firm-wide archiving runs $500.

Unfortunately their website does not have a demonstration of how the service works, nor is a free trial offered to test the service. Yet I have to hand it to the folks behind CagedTweets; they are offering this service through rapid development after being inspired by an April 27 Wall Street Journal article on compliance requirements involving social media.

Still, I’m inclined to endorse LifestremBackup over CagedTweets for two main reasons. First, the former tool features connections to other social media services in addition to Twitter, and second, the service is offered for a very similar price as CagedTweets.

However, according to their website, users who sign up for CagedTweets before the end of July will receive free archiving for all social media applications added to the service.

Check out CagedTweets through this link.

(Hat tip to @jrueckert for mentioning CagedTweets to me)

Advisor Social Networking Replay; 50 in 50 Webinar Registration

Posted on June 8, 2009 by in Practice Management

Advisor Products, Inc.Thanks to Andy Gluck at Advisor Products who hosted the webinar Advisors Using Social Networking Successfully. I really enjoyed the opportunity and have been overwhelmed by the positive feedback I’ve received about the content.

If you were not able to attend the live presentation, click here to register at Advisor Products and view the replay.

Also, you have a little more than 24 hours to register for the upcoming webinar 50 Cost-Saving and Money-Making Ideas in 50 Minutes hosted by InvestmentNews.

InvestmentNews Web Event

Click here to register for the InvesetmentNews webinar.