social media

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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.

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  Do You Really Need to File That Social Media Post With FINRA?

  By Melanie Waddell, AdvisorOne  |  March 18, 2013

  The SEC has released guidance clarifying which social media posts investment companies must file with FINRA.

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  Advisors and Technology: A Love-Hate Relationship

  By Janet Levaux, AdvisorOne  |  March 15, 2013

  Experts at TechLeaders 2013 share reasons why this trend may—or may not—be changing.

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  The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DC

  By David Tittsworth, IAA  |  March 14, 2013

  At the Investment Adviser Association’s annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and what’s coming next, especially from the SEC.

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  Outsourcing Is Up as Tech Crunch Hits IBDs

  By Janet Levaux, AdvisorOne  |  March 14, 2013

  Likewise, greater social media technology is coming to independent reps and their firms, say experts at TechLeaders 2013.

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  Social Media Is Catalyst for Investment Changes Among Affluent: Cogent

  By Danielle Andrus, AdvisorOne  |  March 11, 2013

  Nearly 70% of affluent investors who use social media for financial information have reallocated investments or have started or changed their relationship with investment providers based on content they’ve received through those channels.

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  3 Financial Planning Business Models to Effectively Serve Gen X and Gen Y: Pt. 2

  By Michael E. Kitces  |  March 8, 2013

  Ideally, comprehensive financial planning services for today's young professionals should be implemented with a more clearly defined niche.

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  5 Reasons Advisors Are Wasting Their Time on Social Media

  By Todd Greider  |  March 7, 2013

  Across the country, advisors are wasting their time on social media, but not for the reasons you may think.

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  For Tax Identity Thieves and Phishers, Business Is Booming

  By Marlene Y. Satter, AdvisorOne  |  March 7, 2013

  According to the National Taxpayer Advocate’s 2012 annual report to Congress, ID theft is mushrooming into a far bigger problem in the tax arena than many taxpayers may suspect.