Advice, best practices, and thought leadership for investment firms. Grow your knowledge and your business.


Guide to FINRA's Broker-Dealer Examination Process

Learn four proven ways to prepare for a FINRA routine examination – according to leading compliance experts.


How Leading Broker-Dealers Leverage Digital Technology

Discover three key ways digital technology helps retain top advisors and boost profits

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Mutual Fund Direct Business

“Is mutual fund direct business a viable option for our firm?” remains an important question for broker-dealers to ask. This guide provides a framework to help find the answer.


Data Quality Checkup for Investment Firms

Free data quality checkup tool to help you evaluate the health of your data quality. This online checkup asks 10 brief questions and provides a score, summary of results, and guidance.



Case Studies


Business Process Automation Reduces Costs and Mitigates Risk

Financial services firm automates manual processes and experiences significant efficiency gains and enhanced compliance processes.


Case Study

Fulton Financial Streamlines Commission Processing

Learn how incentive compensation management streamlined commission processing for Fulton Financial Advisors.


Case Study

Enhancing LPL Data With Business Process Automation

Investment services firm enhances LPL data and clearing services with business process automation solutions.


Recent Blog Posts

Comparing Managed and Dual Employee Programs
Comparing Managed and Dual Employee Programs

When a bank or credit union chooses to provide retail investment services via a third-party broker-dealer (e.g., LPL Financial, Raymond James, CUNA, etc.), they must decide the type of networking arrangement. This arrangement consists of two main models: managed...

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FINRA’s Top Enforcement Issues in 2020
FINRA’s Top Enforcement Issues in 2020

According to a new study by Eversheds Sutherland, FINRA disciplinary actions show a surge in enforcement activity in 2020. What caught my eye was a dramatic increase in fines related to variable annuity cases—a 1062% increase! To put that in context, overall fines...

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