Practice Management

Those who are having second thoughts about signing on as heir apparent to their senior advisor’s book shouldn’t feel hopeless.

What's a practitioner to do when faced with this ethical dilemma?

The Crypto Asset and Cyber Unit will increase to 50 positions; Commissioner Hester Peirce questioned why the commission was 'leading with enforcement in crypto?'

The team, previously known as the Cyber Unit, has brought more than 80 enforcement actions since its inception in 2017.

FINRA’s latest Industry Snapshot reflects the continued shift away from commission business toward advisory.

The company’s new initiatives include monthly marketing plans created in-house and a digital reputation management program to monitor an advisor's Net Promoter Score.

According to the commission, Alexandra H. Cock and her firm, Wealth Plus, raised more than $2.5 million in securities in two real estate investment management companies that defrauded investors of millions of dollars.

Basic sales training is all well and good, but the reality is that 'selling' happens everywhere.