For our next National Ethics Awareness Month post, how much do you know about the SEC’s Regulation Best Interest (Reg BI)? Comment the answer below and check back later to find out if you're right!

#Ethics #SIE #SIE exam #Securities #BrokerDealer #ExamPrep #TestPrep #RegBI #SEC

We don't take a transactional approach. Instead, we focus on building a relationship with you and your practice so we can help you meet your capital needs now and in the future. investment-advisors.ppcloan.com #advisors #RIA #brokerdealer

Don't let market fluctuations influence your perception of your practice value. Find out what its really worth with our award-winning business valuation. hubs.li/Q01JfD6c0 #advisors #RIA #brokerdealer

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College territories should be very popular. #ria #brokerdealer #independentwealthadvisor #lifeinsuranceagent #nil4all

Waiting for perfect is never as smart as making progress - #digitaltransformation is hard & executing modern #wealthmanagement experiences to investors is not easy. It’s 2023, make your #bank , #brokerdealer or #RIA better🚀 #financialadvisors #FinTechbyNichlausThacker #Fintwit

Spend less time on administrative tasks and more time helping your clients and growing your business. At Excel, you have access to tools to easily monitor and grow your business. bit.ly/2U7zPer

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Prepare for the year ahead and see your regulatory responsibilities at a glance with ACA’s key FINRA regulatory filings calendar. Download here: hubs.ly/Q01zf-Nw0

#compliance #brokerdealer #FINRA #regulatoryfilings #ACAInsights

#SEC Off-Channel Communications Sweep #BrokerDealer #InvestmentAdviser #SwapDealer #CFTC #HedgeFund CVSoci.al/CnkHtPL6

Bittrex Receives Wells Notice From SEC for Alleged Investor-Protection Law Violations | buff.ly/3UHGeKE
#brokerdealer #clearinghouse #settlementoffer #subpoena

Hiring the wrong person can end up costing you more time, money, and frustration than not hiring anyone at all. #recruiting #advisors #RIA #brokerdealer hubs.li/Q01FqHC10

It critical that you find the right candidate fast to fill gaps in your practice. Let us help you make it happen. hubs.ly/Q01Fp8-l0 #advisors #RIA #brokerdealer

FINRA #finrafraud when will you instruct #brokerdealer and #hedgefunds to settle their #short positions?

They have contractual obligations to do so and not doing it floods the market with #cointerfeitshares !!!

#counterfeiting is illegal.

Multi-generational planning is one of the ten steps to prepare your practice for sale and has an impact on practice value and price. Download the free white paper to learn more. hubs.li/Q01MHdXH0 #advisors #RIA #brokerdealer #successions

Join Excel today and spend less time on administrative tasks and more time helping your clients and growing your business. At Excel, you have access to tools to easily monitor and grow your business. bit.ly/2U7zPer

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New York-based Prometheum Ember Capital secured regulatory approval to become the first crypto-focused company to register with the U.S. SEC and FINRA as a special-purpose broker-dealer.
#Crypto #cryptocurrency #brokerdealer #sec #finra #news #finance
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#Traders , gear up for our 🚨 Annual Sale 🚨

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Whether you're an #investing pro or just starting out, we've got everything you need to #trade upcoming catalysts. Limited time only, so act fast! 📈

No matter where you are in the process – whether you are already working with a buyer or if you are in the early stages of contemplating retirement, we can help. hubs.li/Q01KNvPW0 #advisors #RIA #brokerdealer

#Brokerdealer #CCOs should check out this valuable resource to stay on task for regulatory filing deadlines in 2023 🗓️

#Regulatoryfilings #compliance #Brokerdealer s

Our culture of G.R.I.T.T. is what what makes Vanderbilt dynamic and innovative, standing out from other Broker-Dealers.

#companyculture #vanderbilt #brokerdealer

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IT IS NOT COMPLICATED 'SEC Forgoes Rulemaking in Crypto-Security Fights' about a rulemaking proposal about what cryptocurrencies are securities👩‍🦰I EXPOSE U.S. Securities and Exchange Commission IS OVERSIGHT ONLY TO SECURITIES #BROKERDEALER FIRMS NOTHING ELSE. CONGRESS ONLY MAKES LAW #whistleblower

Join Chris for a quick look at what’s happening in the market over the next few days. These are some of the market events that traders might want to pay attention to 👀.

#trading #daytrading #futurestrading

Over time, the financial industry’s atomization has led to increased competition and complexity in the sector, posing challenges for small financial entities in terms of differentiation, market reach, and service offerings.
#BrokerDealer #FinancialIndustry #RegulatoryCompliance