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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 organizations to maintain various records for FINRA, the SEC and the Securities ...
Blog Entry by pfavro | 29 Nov 2011 | 0 comments
Is your organization among those that have jumped with both feet into the world of social media? Recent survey  results confirm that social media use is on the rise  for almost all organizations across the globe.  This is particularly the case ...
Blog Entry by pfavro | 11 Nov 2011 | 0 comments
Are you or your securities firm among those who have jumped with both feet into the world of social media marketing? A recent industry survey  confirms that nearly two-thirds of all asset managers were actively using social media for marketing ...
Blog Entry by pfavro | 12 Aug 2011 | 0 comments