Compliance makes social networking tougher for registered reps than RIAs
Here’s a guest post by Bill Winterberg, CFP®, an operations and efficiency guru to independent financial advisers, who blogs at FP Pad. He made me realize that RIAs have more leeway than registered reps when it comes to social networking. Websites like Twitter, LinkedIn, and blogs present compliance issues for registered representatives subject to FINRA […]
"Convert Website Visitors into Leads"
You should use a strong call to action to convert website visitors into leads for your business, according to “Strong Call to Action – Convert Website Visitors into Leads” on the Hubspot website. If visitors give you their contact information, they’re one step closer to becoming clients. Hubspot advises you to: Keep it Simple. Make […]
Markopolos SEC letter (2005)
A 2005 letter from Harry Markopolos to the SEC about Madoff Investment Securities is now available on the LinkedIn profile of Bud Haslett, CFA, CEO of Miller Tabak Securities. The file is less than halfway down the page. It’s below Bud’s Presentations sections and above his Experience section.
Top 10 tips for CFA charterholders considering freelance writing
If you’re a CFA charterholder considering a freelance writing career, here’s advice from Omar Bassal, CFA. Omar is the head of asset management at NBK Capital, a freelance writer, and the author of Swing Trading for Dummies. I’m posting Omar’s article as part of my preparation for a panel on “Alternative Careers for CFA Charterholders” […]
"3 Reasons Why Your White Papers Might Fail to Bring in New Business "
Winton Churchill offered three “Reasons Why Your White Papers Might Fail to Bring in New Business” in a White Paper Source post that’s no longer online. But his reasons are still relevant. I list his reasons below and give my take on how they apply to the investment business. “#1. Preaching to the choir“: For […]