by James Pfeiffer | Last updated Jun 13, 2019
The month-end close process for broker-dealers is anything but simple. Intricate commissions and incentive compensation plans, plus regulatory oversight add to the already complicated, tedious process. Poorly executed procedures can be detrimental to a firm. Making...
by James Pfeiffer | Last updated Jun 12, 2019
The Financial Industry Regulatory Authority (FINRA) regulates 3,600 member firms and nearly 630,000 registered reps and conducts over 2000 member firm examinations each year. FINRA conducts routine examinations of broker-dealers checking for compliance with industry...
by James Pfeiffer | Last updated May 29, 2019
Get the latest in Advisor Compensation Research As advisor compensation models continue to evolve it’s critical to stay abreast of the current trends. The Kehrer Bielan 2018 Advisor Compensation Study consists of an analysis of trends in the structure and...
by James Pfeiffer | Last updated Jun 3, 2019
Talent retention remains a significant challenge for broker-dealers. Financial advisors have choices in today’s marketplace. Firms need to focus on advisor satisfaction to prevent top-performing advisors from jumping ship to another firm, taking their expertise and...
by James Pfeiffer | Last updated Jun 3, 2019
Discover How Satisfied and Engaged Financial Advisors Will Boost Your Firm’s Bottom Line Numerous studies show that an engaged workforce translates to a higher bottom line. This is no different for financial advisors — sales performance management is more than...
by James Pfeiffer | Last updated May 15, 2019
Background In January of this year, FINRA launched an initiative to curb the sales of high cost 529 plan funds to investors. Specifically, they are reviewing the share classes recommended to these investors and if these recommendations met the suitability standard...
