Socially Aware

June 20, 2013 - Securities Law, Financial Institutions
FINRA Issues Sweep Letter Regarding Use of Social Media
FINRA, having enacted new communications rules that specifically reference electronic communications, having issued two Regulatory Notices (linked here and here ) providing guidance to the securities industry on social media, and having made social media and electronic communications exam priorities in two of the
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June 11, 2013 - Securities Law, SEC, Financial Institutions
Stop Insider Tweeting!—Feds Eye Social Media for Securities Shenanigans
Article courtesy of Morrison & Foerster’s MoFo Tech As financial institutions and investors turn to social media to instantly share snippets of news and potential clues about market trends, the FBI and SEC are monitoring such postings for evidence of insider trading and improper
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February 04, 2013 - Privacy, Financial Institutions
Watch What You Tweet: Proposed Social Media Guidance for Financial Institutions
By: Nathan D. Taylor and Julie O'Neill
With the explosive growth of social media, consumers increasingly expect to be able to interact online with the companies from which they buy goods and services. As a result, financial institutions have begun to explore the use of social media, both to strengthen relationships
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July 10, 2012 - Securities Law, Investment Management Law, Financial Institutions
The Social Media Experiment: Challenges for Broker-Dealers and Investment Advisers
The announcement by a Wall Street firm that it plans to give its financial advisers limited access to social media websites has been viewed by many as inevitable. Morgan Stanley’s foray into the fast-changing world of social media highlights the difficulties faced by broker-dealers
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April 23, 2012 - Financial Institutions
California Provides Social Media Guidance for Financial Institutions
By: Julie O'Neill
While Facebook, Twitter, LinkedIn and other social media platforms have become an increasingly important tool for businesses across industries to meet their customers’ needs and expectations, financial institutions have been slow to embrace social media. This is likely attributable to the highly regulated environment
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Topic Archives: Financial Institutions

FINRA Issues Sweep Letter Regarding Use of Social Media

Stop Insider Tweeting!—Feds Eye Social Media for Securities Shenanigans

Watch What You Tweet: Proposed Social Media Guidance for Financial Institutions

By: Nathan D. Taylor and Julie O'Neill

The Social Media Experiment: Challenges for Broker-Dealers and Investment Advisers

California Provides Social Media Guidance for Financial Institutions

By: Julie O'Neill