The final Department of Labor fiduciary ruling was enacted this past April, with full implementation scheduled for April 10, 2017. While some have speculated that President-elect Donald Trump may try to repeal or at least delay the rule, betting on this can leave you potentially unprepared to comply on day one.
# Industry Perspectives
Download The PDF Introduction Many brokerage firms process a portion of their business directly with mutual fund companies. Simply put, mutual fund direct business involves direct transactions – which encompass reporting, compliance checks, and paperwork – between a...
How should a broker-dealer prepare for a FINRA exam when it’s a long way off? To use an academic analogy, what efforts can broker-dealers make at midterm to improve their performance on the final exam?