I typically advise my clients to undertake a serious “cold review” of all previously cited problem areas and deficiencies when preparing for their next regulatory exam. ...
The Financial Industry Regulatory Authority continues its crackdown on the sale of troubled private placements, filing sanctions against eight firms and 10 individuals Tuesday and ordering them to pay restitution to investors. According to FINRA, the firms failed to conduct adequate due diligence, and did not have reasonable grounds for recommending the securities. ...
Often times, when you leave a place of employment for greener pastures it is not the most amicable separation. Usually, feelings of resentment and betrayal materialize regardless of the culture or climate existing beforehand. ...
The brokerage business is dead. With commission rates hovering around zero, making a living by buying and selling securities on behalf of customers is a thing of the past. Some brokers are reinventing themselves as investment advisers within brokerage firms, but many are fleeing brokerage firms and landing at registered investment advisory firms (RIAs)....
Registered Rep. is the most trusted digital and print source for the retail investment professional, serving brokers, financial advisors, RIA’s, IBD’s, insurance, financial planners, and financial product companies with award-winning insight coverage of the brokerage, wealth management, fund and financial product industry as well as breaking news, data, rankings, and profiles.
A bunch of social media services have emerged to help financial services firms comply with regulations and make the most of social networks to build business. They've got big plans for 2012.
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