Compliance
Twitter Has Started Rolling Out The Option To Download All Your Tweets
- Details Category: Registered Investment Advisors
In a move that could put an end to the growing number Twitter archive apps, Twitter is reportedly beginning to roll out its own app for downloading a history of all your tweets in a compressed file.
AdvisorOne Conducts Advisor Poll Weighs In On Who Should Be Schapiro's Successor And What Should Be The SEC's Top Priorities
- Details Category: Regulatory
Today, December 14, is SEC Chief Mary Schapiro’s last at the commission. Elisse Walter will serve as interim chairperson but there is still open speculation on who will ultimately head the commission.
Advisor One conducted a poll to let advisors weigh in on who they think should be the next chairperson.
Social Media Compliance Imbroglio At Netflix Illustrates Risk Securities Firms And Professionals Face From Unregulated Use Of Twitter, Facebook, And LinkedIn
- Details Category: Regulatory
Thanks to a seemingly innocuous Facebook posting by its Chief Executive Officer, Netflix is facing the prospect of the Securities and Exchange Commission bringing a civil action against the company and the CEO.
In July, the CEO cheerfully revealed to 200,000 Facebook followers that Netflix subscribers had watched a billion hours of online videos the previous month. Despite the seemingly trivial nature of this posting, the SEC has issued a Wells Notice to Netflix and its CEO, indicating that the agency is contemplating civil action for possible violations of Reg FD about disclosur
Implementation Of Proposed Private Issuer Advertising Rule May Result In Litigation For SEC In 2013
- Details Category: Regulatory
The Jumpstart Our Business Startups (JOBS) Act is part of the Dodd-Frank Act, for which the SEC is responsible for implementing. Part of the JOBS Act involves the SEC push to allow issuers of private securities to advertise to the public.
The turmoil at the SEC that has been a hallmark of 2012 may spill over into the New Year; implementation of the advertising rule may also result in litigation against the SEC.
Appointment Of Elisse Walter As SEC Chair-Designate Makes FINRA More Likely To Be Named Self-Regulatory Organization Overseeing RIAs
- Details Category: Registered Investment Advisors
President Barack Obama on Monday did not name Elisse Walter chairman-designate of the SEC becauseshe prefers RIAs be inspected and overseen by a self-regulatory organization.
Regulation of RIAs was probably not at the top of the list of positions considered by President Obama in deciding to appoint Walter as the new SEC chair. It’s safe to say that Walter’s position on regulation of money funds, disclosures by municipal bonds, and the Volcker Rule banning proprietary trading by banks were probably weighed more heavily by the administration.
However, Walter&rs
More Articles ...
- SEC Chairman Mary Schapiro To Step Down In Three Weeks
- Financial Stability Oversight Council Proposes Three Alternative Structures For Money Market Funds And Puts Them Out For Comment
- Don Trone Weighs In On Whether CFPs Who Work For Broker/Dealers Can Adhere to CFP Board’s Fiduciary Standard
- Another Advisor Claiming To Be A Fiduciary Accused Of Defrauding Investors
