Reasonable Supervision

buyholdsell.jpgIn a recent speech, FINRA CEO, Richard Ketchum, told broker-dealer compliance officers that, although firm compliance programs have improved, there must be heightened supervision when it comes to complex products. 
Continue Reading Did You Know That Some Of Your Products Require Heightened Supervision

Many broker-dealers, both large and small, associate with registered representatives as independent contractors instead of employees.  Although this business model is attractive for many reasons, like decreased overhead for the

Continue Reading The Independent Contractor Business Model; How Do You Protect Yourself Against A Thief