The Crazy Graphical Quilt Chart of FINRA Regulations

Posted by Teresa Bockwoldton June 4, 2015

The SEC came out with this image today that details the rules applicable to US Financial Services Holding Companies and the significant changes to the FINRA rules since 2010. It is just overwhelming. Those of us who have said that regulation is difficult to follow can appreciate this image. Those of you who have said that regulations are easy to follow, take a look at this!

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Tags: Regulation, FINRA, Financial Services Holding Companies

Should you Disclose your Social Media Content?

Posted by Alex Roweon March 27, 2013

Social media has previously not been an issue when it came to your SEC or other public filings, but that may be changing...  

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Tags: Internal Controls, social media, best-practice, FINRA, disclosure, Vibato, SEC, Division of Investment Management