by Patrick M. Kelly | Mar 16, 2012 | FINRA, Technology
FINRA hopes to eliminate administrative delays in the filing by firms of continuing membership applications. When a broker-dealer has an operation, change of ownership, or control change, they are required to file a continuing membership application (the 1017 process)...
by Patrick M. Kelly | Jul 2, 2010 | Broker-Dealers, Financial Services Industry, Wall Street
In a competitive market, broker-dealers are struggling to find innovative ways to attract advisors. Some broker-dealers have found a way to stand apart from their competitors by offering a certain niche. They have figured out what financial advisors really want from a...
