Compliance Q & A for Registered Investment Advisors
by Tiffany L. Chamberlain, CIDA In today’s rapidly changing regulatory environment, compliance can be both confusing and overwhelming, but is a required necessity. We are addressing the most commonly...
View ArticleAvoid the 5 Most Common Blunders of CRM Shopping
By David Ferguson Which best describes you: 1. Shopper 2. Buyer Shoppers will spend whatever time is necessary to feel confident they have made the right choice on the particular item, and that they...
View ArticleU.S. Supreme Court Reaffirms Arbitrators are Empowered to Determine...
by Scott C Matasar Nearly all registered representatives’ contracts with their broker/dealers require them to resolve disputes in arbitration—which are mandatorily arbitrable under FINRA Rules in any...
View ArticleNew Year, New RIA
By Tiffany Chamberlain, CIDA More advisors than ever are “breaking away” from their current arrangement and starting their own RIA. The trend in starting your own RIA is not limited to licensed...
View ArticleIf a Customer Arbitration Goes Badly, Advisors and Firms Must Work Together...
By Scott C Matasar In FINRA arbitrations brought by disgruntled customers, Claimants routinely sue both the rep and the firm. If the arbitration Panel issues a severe Award against you that makes no...
View ArticleThe Business Cleanse
Rid your practice of the toxins that can slow your momentum in the New Year by Victoria Bowen You may have read a lot about ways to start implementing healthy business habits in the New Year. A fresh...
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10 Business Management Mistakes Even Savvy Financial Professionals Make. Are...
By Maria Marsala, Financial Advisors’ Coach, Consultant and Speaker You may not know it, but your business management routine could be suppressing the success of your firm. The 10 habits below are...
View ArticleSpin Doctor: Managing Your U5 Process After an Involuntary Termination
by Scott C Matasar, Esq As a securities regulatory attorney, I regularly work with advisers who are in transition because they have been terminated or permitted to resign by their current firm. One...
View ArticleINVEST IN YOURSELF, INVEST IN YOUR BRAND
The Top 3 Branding Mistakes Financial Advisors Make By Wendy Rall, Budd Branding You’ve studied hard, paid your dues and earned your position, now it’s time to ensure your professional image reflects...
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The Power of Promotional Products
Boost Your Marketing Efforts with Promotional Products By Scott Boyages As a financial advisor you no doubt have a marketing plan or at least a strategy for attracting new clients and staying in touch...
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