Street Legal:
FINRA's Decision on a Financial Advisors' Tweets Is a Lesson for All
A respondent in a recent FINRA regulatory settlement had a Twitter account with 1,400 followers, and she posted at least 372 tweets, 32 of which referenced Advanced Micro Devices (NYSE: AMD). According to FINRA, the registered person needed to inform a Principal at her firm about the account and the AMD tweets. However, there's far more to the case.
READ BILL SINGER'S ANALYSIS OF THIS FINRA REGULATORY SETTLEMENT AT:
Don't Forget to Visit:
Wall Street's Leading Online Community:
Whatever you do, don't lie to FINRA. I can't even begin to recount the number of times that I have given that admonition to a client. You wouldn't thi... Read On
BrokeAndBroker.com Blog publisher, Bill Singer, is no fan of Wall Street's version of self regulation, as spearheaded by the Financial Industry Regula... Read On
The Saga of FINRA Versus Kimberly Springsteen-Abbott(2015 - 2021 -- and maybe not done yet)FINRA placed Kimberly Springsteen-Abbott squarely in its re... Read On
GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates (B... Read On
If there's one thing that's certain about the COVID-19 pandemic, it's that it has changed the way we work and interact with one another. From virtual ... Read On
Someone lost about $100 from a Bank of America drive-up ATM. Someone found it. That first finder wasn't a keeper. That first finder gave the $100 to a... Read On
We got a really, really busy day of news over at our companion publication the "Securities Industry Commentator." The content is free and fabulous. Wh... Read On