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Blotter: January 2012 

By Diana Britton

Farming It Out 

By Jerry Gleeson

With growing regulatory burdens looming, more and more RIAs are outsourcing compliance....

Think You're Too Smart to Be Scammed? Guess Again 

By Pat Huddleston

FAs can be vulnerable. ...

Blotter: December 2011 

By Kristen French

Street Legal: No Second Chances in Regulation or Compliance 

By Bill Singer

I typically advise my clients to undertake a serious “cold review” of all previously cited problem areas and deficiencies when preparing for their next regulatory exam. ...

FINRA Strikes Again: Eight B/Ds Busted for Sale of Private Placements  

By Diana Britton

The Financial Industry Regulatory Authority continues its crackdown on the sale of troubled private placements, filing sanctions against eight firms and 10 individuals Tuesday and ordering them to pay restitution to investors. According to FINRA, the firms failed to conduct adequate due diligence, and did not have reasonable grounds for recommending the securities. ...

Street Legal: A Paperwork Shortcut Nearly Short-Circuits a Young Broker's Career 

By Bill Singer

To avoid looking foolish to a customer, the rep makes a terrible choice....

Blotter: November 2011 

By Kristen French

Don’t Ignore That Promissory Note  

By Patrick J. Burns

Often times, when you leave a place of employment for greener pastures it is not the most amicable separation. Usually, feelings of resentment and betrayal materialize regardless of the culture or climate existing beforehand. ...

Opinion: FINRA Is an Ineffective Regulator  

By Andrew J. Haigney

The brokerage business is dead. With commission rates hovering around zero, making a living by buying and selling securities on behalf of customers is a thing of the past. Some brokers are reinventing themselves as investment advisers within brokerage firms, but many are fleeing brokerage firms and landing at registered investment advisory firms (RIAs)....

You Sure They Settled that FINRA Arbitration? Really? Why? 

By Bill Singer

Just another day in the life of FINRA's arbitration forum....

Blotter: October 2011 

By Diana Britton

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In This Issue: February 2012

Cover Story

Got the Social Media Spins? Help Is On The Way

A bunch of social media services have emerged to help financial services firms comply with regulations and make the most of social networks to build business. They've got big plans for 2012.


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