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Showing posts tagged with FINRA
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pfavro | 29 Nov 2011 | 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 organizations to maintain various records for FINRA, the SEC and the Securities Investor Protection Corporation.  If the new rule – proposed FINRA Rule 4516 (Readily Identifiable and Accessible Records) – is adopted by the SEC, it would provide additional justification for certain financial services companies to deploy automated archiving software such as Enterprise Vault to address the challenges of regulatory recordkeeping.

The purpose of proposed FINRA Rule 4516 is to protect investors in the event a clearing organization can no longer continue to operate due to financial or operational problems.  A clearing organization is an entity through which futures and other derivative transactions...

pfavro | 11 Aug 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 purposes.  This is consistent with other contemporary survey results, which establish that social media use is on the rise for organizations across the globe.

Despite the rising popularity of social media in the securities industry, retention of social media content continues to haunt securities firms.  Indeed, 63% of surveyed asset managers reported that “...