What happens when FINRA's President interviews the SEC's Chairman?
Summary: Even now, there was a lot of talk about Reg BI and what it really means. They reiterated...
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Structured Products Monthly Process Changes with Higher Yields
The structured product market has been akin to riding a roller coaster over the past few years....
How Do BDs Survive the Squeeze of More Industry Regulations and the Need to Control Expenses?
Key Takeaway: More Outsourcing and More Regulations Means More DDW
What a "Product Diversified" Portfolio Really Means
Over the last 12 months, we have seen the fed funds rate increase by 4.5%, directly affecting...
We will ring in 2023 with the highest income levels in over 2 years
Key Takeaway: We will ring in 2023 with the highest income levels in over 2 years for both FIAs and...
FTX: A failure of due diligence
What happened to FTX, and more importantly, what should we think about going forward?
Takeaways from the FINRA Small Firms Conference - Los Angeles, November 2022
Key Themes Discussed: Reg BI, Complex Products, Best Ex Reviews
What We Learned at the National Society of Compliance Professionals’ (NSCP) National Conference
There were 4 primary themes that ran throughout the compliance conference.
3 Ways BDs are Responding to PTE 2020-02
We are frequently asked "What are firms doing with PTE 2020-02? How are our BD peers handling...