by Patrick M. Kelly | Jul 4, 2014 | FINRA
FINRA has asked the SEC to approve a round of fee increases in its dispute resolution forum as it looks to boost pay for its force of around 6,300 arbitrators. The increase could add up to $400 per case. FINRA has not increased fees for arbitrators in 14 years. The...
by Patrick M. Kelly | Jul 1, 2014 | FINRA
It’s back to the drawing board!! In a “surprise” move, FINRA has sent the controversial broker disclosure Rule 2243 back for revision. (The rule would have required brokers to tell clients about recruitment incentives they receive in excess of $100.000.) FINRA plans...
by Patrick M. Kelly | Jun 17, 2014 | Social Media, Technology
Did you know that your “digital profile” is your calling card to the new generation of recruiters? If you “look” competent online you might get a response to that resume that you e-mailed. Recruiters want an overall view of your accomplishments, and more than likely...
by Patrick M. Kelly | Jun 13, 2014 | Branch Managers
“In the mid-90s, it was about product education. In the early 2000s, it was about risk management and mitigation. In 2008, it was about explaining how we were going to navigate those treacherous waters. Throughout those years you were putting the client first. And as...
by Patrick M. Kelly | May 12, 2014 | Technology
“From losing a cell phone, having a laptop stolen to facing email scammers and hackers: Advisors face numerous threats to the security of sensitive client data.” Samantha Allen, reporting for OnWallStreet-mag posted an article on May 6 that every advisor and/or...
