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Missing life on the conference circuit? A review of a major Microsoft event that went forward during the pandemic could spell out what to expect in the coming months.
If M&A transactions and the financing behind them are handled like widgets on a conveyor belt, an advisor’s ‘partnership’ with their broker/dealer may not be as strong as they thought.
With some exceptions, Reg BI scrutiny will be included in broader firm examinations rather than a sole focus of inquiry, according to one FINRA representative.
The company failed to stop potential conflicts of interests involving credit rating analysts' engagement with marketing efforts in 2015 and 2016, according to a commission order.
The Elevate program will consist of webinar meetings, video lectures and workshops focused on organic growth, human capital, scale and efficiency, and business valuations.
