Clinton Gary of CREDO Consulting on Collaborative Growth: A Guide for CMOs and Managing Partners - Passle's CMO Series Podcast EP152
Ad Law Tool Kit Show – Episode 10 – Website Accessibility
ADA Website Accessibility: Insights and Updates — The Consumer Finance Podcast
Privacy Litigation Trends: Meta Pixels, Cookie Opt-Out, and Sale of Data
Data Revolution: How U.S. Privacy Laws Change the Way Data Should be Managed by Retail and Tech Industries
Web-based Tracking Technology and AI: HIPAA Compliance Issues for Health Care Practices
Mikkel Keller Stubkjær of Novicell UK on Composable Architecture and Why it Benefits Your Firm - Passle's CMO Series Podcast
There's still time to register for the CMO Series Webinar: Composable Architecture and Why it Benefits Your Firm
2023 DSIR Deeper Dive: Pixel & Other Website Technologies
The Briefing: Zillow Loses Second Round of Copyright Fight
Podcast Episode 187: Will AI Kill SEO?
CMO Series EP100 - Celebrating 100 episodes and exploring the future of professional services marketing
Podcast Episode 183: Initiating Change
Behind the Scenes of a Legal Rebrand with Erica Roman of Cole Schotz - Passle's CMO Series Podcast
Podcast Episode 180: Building & Leveraging Your Brand Through Social Media
Podcast Episode 177: How to Ignite or Recharge Your Business Development Efforts
AI: Impact and Use in the Financial Services Industry – Crossover Episode with Regulatory Oversight Podcast - The Consumer Finance Podcast
DE Under 3: Job Search Website Operator Agrees to Settle Numerous EEOC National Origin Discrimination Charges
Julie Wall Khoury of Balch & Bingham on customising business development coaching for today’s firm - Passle's CMO Series Podcast
Privacy Policy Best Practices for Nonprofits
The digital revolution has transformed the banking industry. As financial services and associated communications move online, it is more important than ever for institutions to manage and control their online presence....more
Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange...more
I get the fact that anyone silly enough to work for a broker-dealer knowingly chooses to live in a fishbowl. Thanks to BrokerCheck, you can very easily learn more about a registered representative than you can about, say, a...more
Your website is an important part of your business. Chances are, you’re investing both time and money to ensure that it attracts customers and satisfies their needs so that they decide to do business with you. Now that the...more
CYBERSECURITY - U.S. Organizations Doing Business in China Warned of Malware in Tax Software - The Federal Bureau of Investigations (FBI) and the Cybersecurity and Infrastructure Security Agency (CISA) have issued a joint...more
The Financial Industry Regulatory Authority (FINRA) recently warned financial professionals that imposters are attempting to collect personal information of investors by spoofing financial professionals’ websites, reaching...more
On August 20, FINRA warned member firms about a rash of imposter websites, using registered representative’s names, pictures, CRD numbers and other information to gull investors into providing personally-identifying...more
The Financial Industry Regulatory Authority (“FINRA”) has issued a special alert to its member firms, alerting them to an imposter website: www.finnra.org (containing an extra “n”)....more
On April 29, 2019, FINRA published an Information Notice alerting to a potential increase in member firms falling victim to imposter websites – websites designed to appear legitimate but that actually serve as a vehicle to...more
BROKER-DEALER - SEC Extends Compliance Date for Regulation NMS Changes - The Securities and Exchange Commission has extended the compliance dates for amendments to Rule 606 of Regulation National Market System (NMS)...more
If you’re a regular reader of Hanzo, we’ve probably already convinced you that you need to be archiving any social media profiles that your organization maintains, along with your website. Chances are you’ve heard us talk...more
WARCs? WORMs? Is this a lost installment of the Lord of the Rings? Unfortunately, no. Rather, WARC and WORM are abbreviations that you should be familiar with if you’re maintaining digital archives for regulatory compliance,...more
When you need information, where do you go? For the majority of people today, the answer involves a smartphone and social media. From Facebook and LinkedIn to Instagram, Twitter, and even YouTube, social media is...more
Do your web archives have inTegrity? There’s a trend today toward more interactive and personalized web content, but that makes online archiving technically challenging. In the financial services industry, FINRA and SEC...more
The Securities and Exchange Commission recently approved a rule change to amend FINRA Rule 2210 to require broker-dealers to include a “readily apparent reference and hyperlink” to BrokerCheck on their websites. The...more
Structured Products Offerings and Research Reports: Introduction - Structured products are sold by broker-dealers, many of which are affiliates of large investment banks. The equity research group of the same...more
Regulatory Developments - FINRA Files Proposed Rule Change to Apply Markup Rule to Government Securities: On Sept. 30 FINRA filed with the SEC a proposed rule change, published in the Federal Register on Oct. 6, to...more
In This Issue: - FINRA Requests Comments on Proposed Amendments to Rule 2210 and Issues Additional FAQs - FINRA’s Revised Sanction Guidelines - A Uniform Fiduciary Duty Standard and the Structured Products...more
The growing use of social media has created challenges for federal securities regulators, who must enforce antifraud rules that were written at a time when the prevailing technology was the newspaper. This Guide...more
In this issue: - SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use - Director of SEC Division of Corporation Finance Gives Speech on Securities Disclosure ...more