Social Media

When OCIE released its exam alert earlier this year on the use of social media (IA Watch, Jan. 9, 2012), the SEC timed the announcement ...

Use your P&Ps to stress that the CCO has many responsibilities but has a reduced role as a supervisor if you have concerns your work ...

Know the SEC's advertising and marketing rules, create a social media policy, train staff and dive into the new media with a pilot project.That's among ...

As you try to come to grips with how your firm handles reps' use of social media, you might want to consider some statistics a ...

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 ...

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 ...