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As firms drive toward greater profitability and workforce retention, a new environment has developed—one where advisors have far less control over their business lives.
The move to eliminate commissions at some brokerages will result in heightened scrutiny by FINRA examiners of alternative revenue sources, including cash sweep accounts and payment for order flow.
Plan your business evolution. Set a goal of what the end will look like and then prepare yourself mentally that you will not have a finished result quickly.
