A client of mine, who happens to be a financial advisory firm, just got word that they’re broker-dealer will not allow them to blog. For those of you unfamiliar with how the financial services industry works, anything that can be perceived as marketing needs to be approved by a compliance department before it can be implemented. In the case of my client, their business (an independent financial advisory practice) must be affiliated with a firm, recognized by the NASD, to provide this type of...
