NYS Reg 187 is coming, R U ready.  Attend our Webinar Series this Friday at Noon (click below), and we will walk through what needs to be done and...

Need to set up a product committee?  Wondering if your product committee is on par with your peers?  Thinking your product committee is too complex? ...

By popular demand from our clients, finally - a 10-page Due Diligence Report in One Number.  Welcome the DDW Score, coming soon.  Check out an early...

DDW President, Michael Freeman, gives webcast on 'Regulator Expectations for 2019 for BDs and RIAs' - 'Managing your Sales Force, Product Shelf and a...

Product Teams Waste Time Chasing Ghosts

We have a broker-dealer client who receives calls from Advisors every week asking to add a new product to the...