One after another, industries are changing under the onslaught of the Internet. Newspapers reeling… brick and mortar stores hit by online retailers… universities going online. Will traditional funding of small businesses and entrepreneurs by banks and broker-dealers be next? Maybe. ...
SEC
After two years of allowing FINRA to lead, the U.S. Securities & Exchange Commission finally issued its first major pronouncement about the use of social media in the securities industry. In fact, it was a four-part proclamation: a National Examination ...
The umbrella organization of securities commissions for states and provinces is about to come out with social media guidance. But it’s not a FINRA-like proclamation about how investment advisors regulated by the North American Securities Administrators Association (NASAA) can properly use social ...
You hear about it a lot nowadays when people in the securities industry talk about social media: Adoption & Entanglement. Now, people adopt children. They adopt cats or causes. Seems like an easy enough concept to understand. And last weekend, ...
Riddle me this, Batman. Scanning your Facebook’s news feed, amid all the shiny baubles and irrelevant nonsense, you stumble upon a gem! This, you think, could be of real interest to your current and potential clients. You want to pass ...
You may have heard about the U.S. Securities and Exchange Commission stopping a couple of ad men from buying Pabst Brewing Company over social media. If you work for a registered investment company or receive services from one, have you ...
Maybe it doesn’t rank up there with the light bulb, but YouTube is a great invention, isn’t it? All sorts of people are posting things on YouTube. Even the Financial Industry Regulatory Authority (FINRA), which just posted clips for the ...
