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Social Media for Financial Advisors: Do You Have the "X-Factor?"

There are oceans of educational material out there for financial advisors on guidelines and best practices for how to be successful with social media; articles, blog posts, slideshares, whitepapers,...

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5 Must-Haves to Look for from your Social Media Archiving Provider

Today, with more and more firms evaluating and entering into social media, it stands to reason that FINRA & SEC rules governing social media and archiving solutions will play a bigger role in the...

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4 Tips for Financial Professionals on Twitter

Financial professionals have been understandably cautious about using social media for as long as FINRA and the SEC have been putting their foot down on regulations and policies.  That doesn’t mean...

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FINRA Clarifies How Firms Can Use Facebook

Most mid-sized securities firms are struggling to understand how to use Facebook in their business. They know that Millennials, affluent investors, and the rest of American industry are way ahead of...

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Compliance Brief: Analyzing FINRA’s Regulatory Notice 11-39

a new set of rules, but rather acts as an addendum to Notice 10-06) Recordkeeping.  The obligations of a firm to keep records of communications made through social media depend on whether the content...

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Keep Cowboys Away from Social Media at Your Investment Company

There’s usually one in every company. The cowboy. He’s got a swagger in his walk and a smirk in his talk. He gives lip-service to the rules because he’s smarter than the rest of us. He’s too full of...

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Must Tweets by Securities Reps Be Pre-Approved? NO!

When Morgan Stanley Smith Barney announced in May that it will allow its 17,800 financial advisers to use Twitter in October, I said it was a breakthrough. Here was a major Wall Street wirehouse...

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Financial Advisor Usage of Social Media in 2011: Network Usage, Results &...

I attended a great webinar last week put on by Socialware: 2011 Year in Review: Social Media in Financial Services.  Not only did the webinar recap and discuss some of the key highlights and trends...

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Financial Social Media’s Top 10 Blog Posts of 2011

As 2011 comes quickly to a close, I sat wondering what I’d write about for our final blog of the year. After much contemplation, I decided to compile a list of our most popular blog posts based on...

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5 New Year Resolutions for Financial Professionals in the Emerging Age of...

Remember the first years of the Internet Age? Those pesky dial up connections; AOL’s “you’ve got mail” tag line; the slough of what we now consider primitive websites? As of 2012, we are amidst the...

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