Tag Archives | FINRA

3 Question Financial Literacy Test

Take a Quick Financial Literacy Test

Hopefully, most CorpGov.net readers know at least some financial basics, otherwise they wouldn’t be interested in the rather arcane subjects we discuss. Here’s a quick financial literacy test for readers, courtesy of Wharton professor Olivia S. Mitchell, who gave it to a small sample of subjects and came up with a number of conclusions: (more…)

Continue Reading ·

Brokers Free to Tweet

The Financial Industry Regulatory Authority Inc. (FINRA) has backed away from a proposal that would have required broker-dealers to file social-media postings with the regulator. In an update to a package of proposed communications rules filed with the Securities and (more…)

Continue Reading ·

FINRA: Compliance Considerations for Social Networking

FINRA offers a relatively low cost webinar covering compliance and regulatory considerations when using social networking sites to communicate firm business. February 3, 2010, 1:30 p.m. – 2:30 p.m., Eastern Time / 10:30 a.m. – 11:30 a.m., Pacific Time. With the advent of Facebook, LinkedIn, MySpace and Twitter, business use of social networking sites has […]

Continue Reading ·

Powered by WordPress. Designed by WooThemes