Social Media

Depending on how the political winds blow this November, Rep. Maxine Waters (D-Calif.) could find herself chair of the House Financial Services Committee. IAs may ...

Like other advisers, employees at Sterling Financial Planning ($289M in AUM) in Sparta, N.J. are permitted to create LinkedIn pages "but they're very, very skimpy ...

While you may or may not yet be sold on the merits of dipping your firm into the frenetically growing channels of social media, some ...

Granted new social media guidance for advisers released last week comes from a single state - Massachusetts - but it adds to the trend of ...

That new SECexam alert on social media (IA Watch, Jan. 9, 2012) has some predicting the need to monitor its business use will hinder smaller ...

You can call it a trend. Recently, the SEC announced two more enforcement actions against advisory firm CCOs for misleading investors, even though none lost ...

In recognizing that the use of social media by investment advisers is "rapidly accelerating," the SEC last week timed the announcement of an enforcement action ...

Observations related to the use of social media by registered investment advisers

No corner of the web escapes Vanguard, the nation's largest advisory firm with $1.4T in AUM. Its parent company's Facebookpage announces a new app for ...

Whether or not you allow your reps to use social media for business purposes, FINRA expects you to train them on the difference between a ...