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It’s no surprise that the first industry to be heavily regulated regarding social media use was the financial services industry. The predominant factor that drove regulators to address the viral qualities of social media was the fiduciary nature of ...
Blog Entry by AlliWalt | 25 Jan 2012 | 1 comment
It’s already a few weeks into the new year and it’s easy to spot the big lines at the gym, folks working on fad diets and many swearing off any number of vices.  Sadly perhaps, most popular resolutions don’t even really change year after year .  ...
Blog Entry by Dean Gonsowski | 17 Jan 2012 | 0 comments
The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 11-48 last month to request public comment on a proposed new rule requiring carrying/clearing ...
Blog Entry by pfavro | 29 Nov 2011 | 0 comments
In the first settlement of its kind, FINRA settled with the SEC on October 27, 2011 due to allegations over a 2008 incident where a regional Kansas City office of FINRA doctored documents.  The alleged doctored documents were from three ...
Blog Entry by AlliWalt | 14 Nov 2011 | 0 comments
The SEC implemented rules this week to create awards for corporate insiders that blow the whistle for violations of federal securities laws.  Where the violations result in fines (referred to as "sanctions") of more than $1 million, the ...
Blog Entry by pfavro | 26 May 2011 | 0 comments