social media

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  SEC Gives Green Light for Public Companies to Use Social Media

  By MARCY GORDON, AP BUSINESS WRITER  |  April 2, 2013

  The SEC will allow public companies to make significant announcements on Facebook, Twitter and other social media provided they alert investors which sites they intend to use.

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  Price Forecasts in the Media: a Lousy Way to Invest

  By Joyce Hanson, AdvisorOne  |  April 1, 2013

  “I often hear advisors say their clients are contrarian indicators,” Richard Peterson of MarketPsych says, warning advisors to calm clients' primal buying and selling urges.

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  Merrill Reinvents Training; Clearing Firms Get Social: April Research—Slideshow

  By Editorial Staff  |  April 1, 2013

  The cover story of the April issue of Research takes an in-depth look at Merrill Lynch Wealth Management's revamped training program. A feature article examines the clearing industry's efforts to move beyond its traditional transaction focus.

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  How to Shake Up Your Marketing

  By Ellen Uzelac  |  April 1, 2013

  Despite significant structural changes in the industry over the last decade, financial services marketing has remained—as Jay Nagdeman puts it—conservative, undisciplined and expensive.

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  Clearing Firms Gain a Human Touch

  By Jane Wollman Rusoff  |  April 1, 2013

  Traditionally, clearing firms have helped independent broker-dealers by ruling the back office. Now these durable companies are stepping out front by tuning BDs in to vital growth opportunities—as well as to potential perils.

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  H.D. Vest Picks a Compliance-Friendly Social Media Platform

  By Joyce Hanson, AdvisorOne  |  March 29, 2013

  Guess which compliant and secure social media platform H.D. Vest chose for its 4,600 advisors after a year of research?

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  Advisors Flocking to Social Media, but Still Misunderstanding Clients

  By Michael S. Fischer  |  March 26, 2013

  Advisors view social media as an increasingly important tool to engage clients. At the same time, they significantly overestimate clients’ investment savvy and risk appetite.

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  Hey, Mut Fund Providers: Gen Y Can’t Hear You

  By Danielle Andrus, AdvisorOne  |  March 21, 2013

  Investors under 30 account for nearly 10% of affluent investors in the United States, but mutual fund companies aren’t doing enough to get in front of those consumers.

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  SEC Enforcement Roundup: CR Intrinsic Slapped With Record Insider Trading Fine

  By Marlene Y. Satter, AdvisorOne  |  March 21, 2013

  The SEC settlement by CR Intrinsic was for $600 million, the largest ever in an insider trading case; meanwhile, a financier was charged in a scam involving pre-IPO Facebook stock.

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  7 Tips to Avoid SEC Compliance Audits When Marketing

  By Gil Weinreich, AdvisorOne  |  March 20, 2013

  Compliance expert Nancy Lininger offers rules of thumb on avoiding the flags that SEC auditors are looking for in marketing materials.