January 20, 2012 – 12:37 pm
Financial institutions are bound to rules and regulation than other companies experimenting in customer engagement, specifically in social media, can ignore. Over the years, SunTrust has stood out as one of several examples that understand how to use regulatory boundaries to inspire a new generation of customer engagement. The result is finding balance between risk [...]
In 2010, RIA-in-a-Box handled 1 of every 5 successful new registrations for an investment advisory license. Its founder, Zachary Gronich began his career helping CPAs get registered as RIAs and he morphed his business into a growth machine. In this episode of New Rules of Investing Radio, you’ll learn: why RIA-in-a-Box is growing like a [...]
November 10, 2010 – 10:54 am
by Gregg A. Castano, President, Business Wire Forget about level playing fields, Regulation FD, interpretive guidance and recognized disclosure channels. What about good, old-fashioned EFFECTIVENESS? Have we entered a bizarro world in which simultaneously making material information available to millions of investors via every conceivable communications method known to modern man has somehow become [...]
COMPANIES that are early adopters of social media for corporate communications are increasingly using channels like Twitter, Facebook and YouTube to deliver investor-related information, a new study has found. Conducted by Q4 Web Systems, which provides software for managing corporate and investor relations websites, the study looks at the social media activities of 362 companies [...]
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PERHAPS I’m old-fashioned, but when a company uses a service like Twitter to tell followers about company earnings, I expect them to make a reasonable effort to post the news simultaneously to other channels. There’s no point in tweeting investor news if the people getting it are the last to know. For investors, timing is [...]
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January 26, 2010 – 5:20 am
A sign that use of social media has become truly widespread, FINRA, the Financial Industry Regulatory Authority and the largest non-governmental regulator for all securities firms doing business in the United States, issued some interesting new guidance to stock brokers intending to use Facebook and Twitter.
In Regulatory Notice 10-06 issued yesterday, the industry regulator attempts [...]
October 12, 2009 – 4:12 am
Bloomberg reports today that Citigroup agreed to pay $600,000 in fines related to a charge Finra brought against the bank. The regulator claimed that Citigroup didn’t properly supervise specific transactions of foreign clients to skirt paying taxes on dividend payments.
According to the Bloomberg article:
Investigators at the Financial Industry Regulatory Authority, which polices almost 4,800 U.S. [...]
September 11, 2009 – 8:10 am
Warren Buffett has been quoted as saying that his ideal holding period for a security is “forever”. While Buffett has exhibited long-term perseverance with some of his large cap holdings like Johnson and Johnson and Coca-Cola, he’s actually proved to be quite the trader recently with some options plays and short-term funding of the troubled [...]
By New Rules of Investing
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Posted in Research
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Also tagged aspen institute, berkshire hathaway, broker, financial advisors, financial reporting, Governance, industry news, john bogle, Risk, vanguard, Wall Street Journal, warren buffett
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