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	<title>everydaytenacity.com &#187; regulatory</title>
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		<title>FINRA Notice 11-39: Interpreting the finer points of social media guidance</title>
		<link>http://everydaytenacity.com/asset-management-marketing/finra-11-39-finer-points-social-media-guidance</link>
		<comments>http://everydaytenacity.com/asset-management-marketing/finra-11-39-finer-points-social-media-guidance#comments</comments>
		<pubDate>Tue, 23 Aug 2011 23:00:15 +0000</pubDate>
		<dc:creator>Adam Verchinski</dc:creator>
				<category><![CDATA[Asset Management]]></category>
		<category><![CDATA[Industry News]]></category>
		<category><![CDATA[compliance]]></category>
		<category><![CDATA[financial advisor]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[marketing]]></category>
		<category><![CDATA[regulatory]]></category>
		<category><![CDATA[social media]]></category>
		<category><![CDATA[social media policy]]></category>
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		<guid isPermaLink="false">http://everydaytenacity.com/?p=1933</guid>
		<description><![CDATA[Following up on Regulatory Notice 10-06, &#8216;FINRA&#8217;, the Financial Industry  Regulatory Authority, has recently posted new guidance in the form of notice 11-39 on its website. The guidance attempts to answer additional questions regarding the original application of the rules as well as the finer points on how companies ...]]></description>
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		<slash:comments>1</slash:comments>
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		<title>How Investment Managers feel about their prospects over the next 3 years</title>
		<link>http://everydaytenacity.com/asset-management-marketing/optimism-concerns-investment-managers</link>
		<comments>http://everydaytenacity.com/asset-management-marketing/optimism-concerns-investment-managers#comments</comments>
		<pubDate>Thu, 28 Apr 2011 21:20:57 +0000</pubDate>
		<dc:creator>Adam Verchinski</dc:creator>
				<category><![CDATA[Asset Management]]></category>
		<category><![CDATA[asset management]]></category>
		<category><![CDATA[challenges]]></category>
		<category><![CDATA[industry trends]]></category>
		<category><![CDATA[Institutional Sales]]></category>
		<category><![CDATA[investment trends]]></category>
		<category><![CDATA[marketing]]></category>
		<category><![CDATA[regulatory]]></category>

		<guid isPermaLink="false">http://everydaytenacity.com/?p=1805</guid>
		<description><![CDATA[In a recent, March 2011, poll conducted by SEI investments, investment managers felt overwhelmingly optimistic (88%) about their prospects but also have decided to make certain strategic investment as a means to capture further assets and addresses areas of risk.


Background:
Approximately 60 senior investment management operations, distribution, and investment professionals were ...]]></description>
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		<slash:comments>0</slash:comments>
		</item>
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		<title>Stepping up scrutiny of Social Media</title>
		<link>http://everydaytenacity.com/asset-management-marketing/sec-scrutiny-of-social-media</link>
		<comments>http://everydaytenacity.com/asset-management-marketing/sec-scrutiny-of-social-media#comments</comments>
		<pubDate>Tue, 15 Feb 2011 22:15:05 +0000</pubDate>
		<dc:creator>Adam Verchinski</dc:creator>
				<category><![CDATA[Asset Management]]></category>
		<category><![CDATA[compliance]]></category>
		<category><![CDATA[financial advisor]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[regulatory]]></category>
		<category><![CDATA[social media]]></category>
		<category><![CDATA[social media policy]]></category>

		<guid isPermaLink="false">http://everydaytenacity.com/?p=1627</guid>
		<description><![CDATA[The SEC has followed the footsteps of FINRA&#8217;s 10-06 guidelines on social media by now asking some investment advisory firms for information regarding social media.

Back in early December 2010, news started going around social media circles about an SEC &#8220;sweep letter&#8221; that it seems some registered investment advisory firms have ...]]></description>
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		<slash:comments>2</slash:comments>
		</item>
		<item>
		<title>Conflict of interest risk in the asset management industry</title>
		<link>http://everydaytenacity.com/industry-news/conflict-of-interest-risk-asset-management-industry</link>
		<comments>http://everydaytenacity.com/industry-news/conflict-of-interest-risk-asset-management-industry#comments</comments>
		<pubDate>Thu, 04 Nov 2010 21:38:24 +0000</pubDate>
		<dc:creator>Adam Verchinski</dc:creator>
				<category><![CDATA[Industry News]]></category>
		<category><![CDATA[asset management]]></category>
		<category><![CDATA[regulatory]]></category>

		<guid isPermaLink="false">http://everydaytenacity.com/?p=1436</guid>
		<description><![CDATA[A study of the Spanish mutual fund marketplace has uncovered the possibility of a huge conflict of interest on behalf of some Asset Managers.


Introduction:
The Spanish asset management industry study analyzed the trading patterns of mutual funds affiliated with 8 banks to the price action of the stocks of the controlling ...]]></description>
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		<slash:comments>0</slash:comments>
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		<title>Spotlight on FINRA Social Media Webinar</title>
		<link>http://everydaytenacity.com/asset-management-marketing/spotlight-finra-social-media-webinar-highlights</link>
		<comments>http://everydaytenacity.com/asset-management-marketing/spotlight-finra-social-media-webinar-highlights#comments</comments>
		<pubDate>Fri, 12 Feb 2010 20:40:47 +0000</pubDate>
		<dc:creator>Adam Verchinski</dc:creator>
				<category><![CDATA[Asset Management]]></category>
		<category><![CDATA[compliance]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[networking]]></category>
		<category><![CDATA[regulatory]]></category>
		<category><![CDATA[social media]]></category>
		<category><![CDATA[social media policy]]></category>

		<guid isPermaLink="false">http://everydaytenacity.com/?p=270</guid>
		<description><![CDATA[After releasing their regulatory notice 10-06, FINRA conducted a webinar including interactive Q&#38;A session on February 3, 2010 to expound on and hopefully clarify their guidance on the use of blogs and social networking sites for communications sponsored by a financial services firm or a registered representative.
Read on to see ...]]></description>
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		<slash:comments>5</slash:comments>
		</item>
		<item>
		<title>FINRA social media guidance &#8211; key highlights</title>
		<link>http://everydaytenacity.com/asset-management-marketing/finra-social-media-guidance-key-highlights</link>
		<comments>http://everydaytenacity.com/asset-management-marketing/finra-social-media-guidance-key-highlights#comments</comments>
		<pubDate>Tue, 02 Feb 2010 15:41:16 +0000</pubDate>
		<dc:creator>Adam Verchinski</dc:creator>
				<category><![CDATA[Asset Management]]></category>
		<category><![CDATA[client communications]]></category>
		<category><![CDATA[compliance]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[regulatory]]></category>
		<category><![CDATA[social media]]></category>
		<category><![CDATA[social media policy]]></category>

		<guid isPermaLink="false">http://everydaytenacity.com/?p=111</guid>
		<description><![CDATA[FINRA has provided regulatory notice 10-06 regarding social media, but none of the guidance is earth shattering and in fact is quite underwhelming.
On January 25, 2010, FINRA released a ten page regulatory notice covering what sort of guidance firms should apply when communicating on social media sites, such as blogs ...]]></description>
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		<slash:comments>2</slash:comments>
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