A FINRA risk-based exam can be a harrowing experience for firms, especially if those that are unprepared. But the agency is on track to complete 865 branch offices examinations this year, so it’s vital firms take steps to limit any problems. Here's how.
"Studio 54 is a way of life. People live there. They dance there. They drink there. They make friends there. They make love there. They break up there. They become stars there. They do business there. They sleep there...We've never had an earthquake in New York, but if we did, it would be at Studio 54." --Andy Warhol
An increasing number of families in recent years have been investing in the renovation of their homes, but too many do not fully appreciate the range of risks involved – from unreliable contractors and worksite injuries to property loss, lawsuits, and family safety threats....More
Many financial advisors focus on the key baby boomer segment that is approaching retirement. With one of the largest transfers of wealth in history expected to occur over the coming decades and technology playing a larger economic role, successful advisors are looking for ways to work with younger investors....More