In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
The case for overtime pay for brokers just got a little bit stronger. On July 31, U.S. District Judge John Houston “denied in its entirety” a motion for summary judgment by A.G. Edwards, which sought to throw out overtime-pay claims by...
Securities regulators say that 60 percent to 70 percent of the complaints they receive concerning fraud are committed by unregistered individuals, while 97 percent to 98 percent of registered reps have virtually spotless records
Branch managers say they sometimes get the feeling they are wearing bull’s-eyes on their backs. Perhaps they are. And it’s not just because as a branch office’s supervisor they are often held accountable for anything that goes...
