5 Things All Financial Advisors Should Know About Compliance
Compliance has been and continues to be a pressing topic when it comes to financial advisors and social media. While advisors are becoming more comfortable with social media and acquainted with...
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5 Major Highlights of the SEC’s 2013 “Guidance Update”
Since the dawn of social media, financial services professionals have been very cautious for fear of violating compliance regulations and parameters. For guidance, companies and firms rely heavily on...
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What the New SEC Social Media Guidance Update Means for Advisors
Because current social media platforms continue to evolve and new platforms are constantly emerging, the Securities and Exchange Commission (SEC) needs to stay on their toes to keep up. In an effort to...
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2014 Electronic Communications Compliance Report: What You Need to Know as a...
Smarsh, a cloud-based archiving solution for financial advisors, recently released their annual Electronic Compliance Survey Report. In its fourth year, the Smarsh survey seeks to identify trends and...
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Personal vs. Professional? What Advisors Should Share
Editor’s Note: The following article was first published by Financial Planning as part of the 30 Days, 30 Ways campaign. For many professionals, this is the number one question asked regarding social...
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Financial Web Marketing Weekly Roundup – August 8th
Welcome to the first weekly roundup of August. Coming at you this week are some of the best financial web marketing resources that made a little online buzz this week! Learn about the importance of...
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Monday marketing: Getting to know your industry
This series details the best ways to improve your web marketing skill set as a financial advisor. Chances are that as a financial advisor you know very well the challenges you face when it comes to...
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Advisors’ Guide to Quicker Compliance Approval
A pivotal moment in time, an instance marked by change; indeed, it’s that occasion again where a new month has rolled around the corner and tackles you unexpectedly (as they all say, “time flies”)....
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Shaking Things Up: March Support Update
Happy month of March advisors! To shake things up and give these support updates a little twist, I will be talking about the numbers behind our performance through the display of graphs! Describing...
View ArticleHow the FINRA BrokerCheck Rules Apply to your Website
Last October 2015, the SEC approved of FINRA BrokerCheck rule 2210. Here is the FINRA executive summary explaining the rule in regulatory notice 15-50: “The SEC approved amendments to FINRA Rule 2210...
View ArticleBrokerCheck Discount – $200 Off
Does your advisor website comply with the new FINRA BrokerCheck Rule 2210? Effective June 6th, 2016, your website may be required to display a readily apparent reference. If you have a footer at the...
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