Schedule a Demo

Social Media vs. Compliance — The Major Marketing Problem Stumping Financial Services

These days, you'd be hard-pressed to find an business that isn't advertising on social media. But when it comes to financial service providers, social media marketing can become a double-edged sword, or worse a compliance nightmare that results in major fines from the SEC, FINRA or the FTC.

All Posts

Social Media vs. Compliance — The Major Marketing Problem Stumping Financial Services

These days, you'd be hard-pressed to find an business that isn't advertising on social media. But when it comes to financial service providers, social media marketing can become a double-edged sword, or worse a compliance nightmare that results in major f

SEC Rule 17a-3 & FINRA Records Retention Requirements Explained

Financial industry recordkeeping regulatory requirements like the U.S. Securities and Exchange Commission (SEC) Rules 17a-3 and 17a-4, and the Financial Industry Regulatory Authority (FINRA) Rules 4511 and 2210, play a crucial role in maintaining the inte

4 Reasons it Pays to Comply with FINRA & SEC Recordkeeping Laws

Complying with your industry's record keeping regulations may seem like a given; yet stories of non-compliance continue to circulate in the news. Unaware of the significant harms of failing to meet regulations, many organizations are overlooking complianc

Q&A With Jason Wenk - CEO, Retirement Wealth Advisors

We touched base with our financial services client, Jason Wenk, CEO of Retirement Wealth Advisors to find out how PageFreezer has helped his business meet regulations and focus on what they do best - helping clients live more enjoyable lives with smarter

Why Social Media Archiving is a Must Have for Financial Services

Ever since social media first came into our lives with the emergence of platforms like MySpace in the early 2000s, it has shown no signs of slowing down. Today, over 30% of the world’s population utilizes some type of online community. In the U.S, that nu

Archiving for FINRA Social Media Compliance

Financial firms are naturally cautious when it comes to new communication technology. After all, they understand that regardless of the medium the general rule applies; they are accountable for all business communications. Plus, each new communication cha

    What Is Swatting? And How Can You Prevent It?

    What happens when online harassment crosses the digital divide? For a decade, the practice of swatting has been on the rise, and featured in news stories the world over.

    Why Now is the Time for Government Agencies to Automate Recordkeeping

    Government agencies today are facing unprecedented pressure to do more with less. Recordkeeping teams, responsible for critical functions like responding to open records requests and FOIA compliance, are increasingly challenged by staff reductions and the ever-growing volume and complexity of digital records.