Tag Archives: compliance

Oriental Rugs & Business Writing

True story: I was once written up for using college level vocabulary on the job. Yes, it was in a written performance evaluation. No, I was not writing for a living at the time; was running a line of business. You might not guess that my employer was a bank, where most workers had some college and many had MBAs. Go figure. Just one of the reasons I'm forever freelance.

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Social Media Regulations for the Financial Industry (finally)

Last week FINRA issued Regulatory Notice 10-06 to finally address how those it regulates can participate in social media. Anyone regulated by FINRA already knows this, and I've got nothing new to say about the notice.

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Burned by Boilerplate

As we hurtle towards 2010 some financial advisors and life insurance agents keep communicating like it's 1999.

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