FINRA Sees Sharper Decline in Reps While Dual-Registrant Numbers Continue to Rise
FINRA Sees Sharper Decline in Reps While Dual-Registrant Numbers Continue to Rise
Jul 31, 2020
The total number of FINRA-registered reps dropped by nearly 5,000 in 2019, a much more drastic decline than in 2018, according to a new FINRA report.
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When a Team Member Doesn’t Want to Come Back to the Office
Jul 31, 2020
Many advisory firm leaders are anxious to get back to the office, but some team members may want to work from home permanently.
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Evergreen Is Out, Timely, Relevant Content Is In During Pandemic
Jul 31, 2020
Marketing experts have noted an appetite for relevancy when it comes to content consumption.
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Can Reg BI, the DOL Rule Be Undone by Democrats?
Jul 30, 2020
As the Democratic Party vows to reverse the Trump administration’s financial advice regulations, a panel of legal experts says those rules can’t simply be undone.
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Sponsored Content
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Aug 04, 2020
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Some RIAs Ditch the Office for Good
Jul 29, 2020
Small and large firms alike are starting to reconsider whether they should retain the amount of office space they currently have as work-from-home largely remains the norm months into the spread of COVID-19.
Private Equity, Fundamentals Will Accelerate Advisor Recruiting in Second Half 2020
Private Equity, Fundamentals Will Accelerate Advisor Recruiting in Second Half 2020
Jul 29, 2020
Whatever the doomsayers might want you to think, look for the recruiting wars among broker/dealers to intensify in the final half of 2020. 
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How to Get the Most Out of Virtual Business Conferences
Jul 28, 2020
The virtual world may not necessarily be better, but it has a lot going for it.
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SEC Announces Roundtable for Form CRS Issues
Jul 28, 2020
While many brokerage and advisory firms had followed compliance mandates for developing their forms, the Commission still found examples of forms that could be "more clear or otherwise improved."
Fi360 Offers Remote Proctoring for Certification Exams
Fi360 Offers Remote Proctoring for Certification Exams
Jul 28, 2020
Financial advisors can now take the exams for the Accredited Investment Fiduciary and Professional Plan Consultant designations online.
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