Search posts by category

Jun 18, 2019

Sprint to the finish line: will FINRA meet CAT deadlines?

The Financial Industry Regulatory Authority (FINRA) may be facing its toughest technology challenge ever with the Consolidated Audit Trail (CAT). With complex and evolving business requirements, robust performance and scaling considerations, serious security posture scrutiny, and a timeframe of under one year to pull it all together, everyone (especially the broker-dealers subject to reporting) wants to know: will they really get it done on time?

Apr 3, 2019

Being proactive and self-disclosing about 529 share class suitability

FINRA is asking its member firms to quickly identify any suitability issues in 529 accounts where the recommendations made were inconsistent with the investor’s investment objectives.

May 24, 2017

To financial advisors: Get started with social media

In our last blog post, we highlighted the important reasons why advisors need to get going and get visible on social media channels. Most importantly, to ensure that the lifeblood of future growth - referrals - are coming in. According to Justin Barish, Digital Marketing and Network Development Specialist for Dynasty Financial Partners, “When your clients refer friends or contacts to you, those referrals first ‘Google’ your company or your name before they call you.  If they don’t ...


Theme picker