Europe, regulation, margin squeeze, market volatility, succession planning and … oh yes, the day-to-day pressures of running a business. We tick the list off so often, it’s getting a bit cliché. But as with last year, we’re not much further along in figuring out these issues. Lawsuits related to Medical Capital and other poorly thought-out products spelled trouble for certain broker-dealers last year, and a few shut their doors entirely. The field is a little less crowded, but for those doing it right, the confusion spells opportunity. With all that in mind, which broker-dealers are thriving, which are merely surviving and which are shutting their doors? We present the 2012 Broker-Dealer Reference Guide, a review of the top BDs in each major category to help you sort it all out and ensure a lasting and profitable relationship for you and your clients.
If you’re thinking of changing broker-dealers, you owe it to yourself to read this article that covers all major aspects of the transition process.
This White Paper outlines the immediate actions firms can take to correct outdated and costly supervision procedures.
As an investment professional, video marketing can be a very powerful tool that you can utilize to enhance your practice.
Sep 20, 2016
This webcast will review the key aspects of the amendments and the steps that funds and intermediaries can take in order to comply with the...
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.
Aug 24, 2016
Many affected firms and individuals are well-versed in the complexities of the new rule but still have detailed questions. Others are still familiarizing themselves with...