News, Analysis and Opinions on IBDs.

When You Don’t Know What You Don’t Know

  • Jun 2, 2015
    The Daily Brief

    FINRA Marketing BrokerCheck

    Many investors don’t know what the Financial Industry Regulatory Authority’s BrokerCheck website is, but that’s about to change....More
  • May 28, 2015

    Next Regulators Will Be Asking to See Text Messages

    Examiners regularly ask to see email and website records, but that's about to change. Smarsh's CEO predicts in just a few years, reviews of text messages could be commonplace....More

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