FINRA is proposing significant changes to the expungement process for customer dispute information on a financial advisor's CRD record. FAs should review the Regulatory Notice and consider submitting comments during the comment period.
Some former Fidelity representatives/employees are now receiving inquiry letters from FINRA concerning the firm's computer reimbursement program. We've got some valuable information that will assist those facing a FINRA exam.
Joel Beck joined Jay Coulter on his podcast, The Resilient Advisor, this morning to discuss Morgan Stanley's exit from the Protocol for Broker Recruiting and what that might mean for financial advisors.
Financial advisors called in for an OTR (on-the-record) interview with FINRA often have questions about what that is and how it works. In this short video, we'll answer many of the common questions about how the OTR works, and what a FA should expect walking into the interview.
Financial advisors, insurance agents and CPAs are invited to join us on Wednesday, October 11, 2017 at 4PM Eastern for an update on estate planning in Georgia. Learn the foundational tools used for most clients in Georgia, and also get up to speed on changes in the law in 2017, including changes to Georgia's power of attorney act.