by Patrick M. Kelly | May 3, 2013 | Financial Services Industry
The proposed rule, put forth by the Financial Industry Regulatory Authority, would require financial advisors to disclose the bonuses and other compensation they receive when switching employers. If the rule goes into effect, it could influence how advisors weigh...
by Patrick M. Kelly | May 1, 2013 | Breakaway Brokers, Going Independent
If you are a financial advisor looking to acquire or sell a practice, Willis-Consulting Inc. can assist you in the process. Our practice acquisition specialists will help manage your transition and assist you in structuring a satisfying agreement that compensates you...
by Patrick M. Kelly | Apr 25, 2013 | Broker-Dealers, Going Independent
“The independent broker-dealer space has all the elements of a high-adventure video game this year, and only the most advanced players may be up for the challenge.” Anticipating and navigating regulations is growing more daunting, while shrewder strategies are needed...
by Patrick M. Kelly | Apr 22, 2013 | Financial Advisors, Financial Services Industry
The National Do Not Call Registry “was established to try to limit the serious effect that telemarketing tactics were having on consumers,” according to Adrian LaRochelle, a staff attorney for the Bureau of Securities Regulation, in a phone interview with...
by Patrick M. Kelly | Apr 11, 2013 | FINRA
A former Financial Industry Regulatory Authority, Joseph Sciddurlo claimed in a suit filed last week that he worked as a principal examiner for FINRA in 2010 when he discovered that the regulator’s system allowed large firms to circumvent a Securities and Exchange...
