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Advisors Allowed To Get Social

By Mark H. Astarita, Esq.

My article from On Wall Street this month, on use of social media by financial advisers.There are numerous issues involved, and contrary to the statements made by some, this is not as simple as storing tweets. We are developing compliance and supervisory procedures for firms to use, building on FINRA's social media release, and the issues are numerous. Training, approval, supervision, monitoring, storage are all issue that need to be address before any firm allows their representatives to do anything more than put up a simple LinkedIn profile.And you can be sure that FINRA is going to start including social media reviews in their next round of examinations. For many firms, it will be a "gotcha" violation, and too many examiners love "gotchas...continue to full post

Full post as published by SECLaw.com on March 22, 2010 (boomark / email).

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Social Security Loses Class Action, Will Pay $500 Million in Benefits

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