Though selling your business may sound simple in theory, what that looks like in practice is as unique as the people involved and can be completely different from one sale to another.
Grau reflects on the evolution of succession planning in this industry over the last eight years and where it’s headed in the future, as his own transition plays out.
The proposed rule would make remote examinations of the residential offices a permanent part of FINRA's process, but PIABA President Hugh Berkson warns it would allow reps to skirt oversight.
A proposal being circulated inside Wall Street’s main regulator would require that brokers in fixed-income and some derivatives—as well as those handling equities—get their clients the best deal.
