Resources
Advice, best practices, and thought leadership for investment firms. Grow your knowledge and your business.
Guides
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
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.
Webinars
Best Practices in Working With Your Third-Party Broker-Dealer
On-Demand Webinar
Leveraging Data in Raymond James Bank and Credit Union Programs
On-Demand Webinar
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Case Studies
CASE STUDY
Business Process Automation Reduces Costs and Mitigates Risk
Financial services firm automates manual processes and experiences significant efficiency gains and enhanced compliance processes.
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Case Study
Fulton Financial Streamlines Commission Processing
Learn how incentive compensation management streamlined commission processing for Fulton Financial Advisors.
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Case Study
Enhancing LPL Data With Business Process Automation
Investment services firm enhances LPL data and clearing services with business process automation solutions.
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Recent Blog Posts
Reaching the Next Generation of Investors
As a growing number of investors switch from commission-based brokerage to fee-only RIAs, the market has responded in kind. FINRA data shows that the number of FINRA-registered broker-dealers fell by 17% in the past eight years, while SEC-registered RIAs have grown by...
How Compensation Errors Impact Your Bottom Line
This article examines how compensation errors, both overpayments, and underpayments impact your firm’s bottom line. It’s easy to see how overpaying your financial advisors can hurt your bottom line, but making the connection between underpaying your advisors and...
Successful Customer Onboarding
According to data collected by Technology Evaluation Centers, nearly 50% of ERP implementations fail the first time around. It’s no wonder that many firms are indecisive when investing in new technology and often do nothing, settling for stagnation — no matter the...
Getting Started with DTCC Wealth Management Services
DTCC Wealth Management Services At a high level, it’s easy to understand the value of using DTCC’s wealth management services. DTCC can help broker-dealers streamline manual processes and reduce overhead; this is particularly true for large financial institutions that...
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...
Best Practices in Working With Your Third-Party Broker-Dealer Webinar Recap
We recently hosted a webinar titled: Best Practices in Working With Your Third-Party Broker-Dealer. This webinar explored how bank and credit union investment services programs can get the most out of their third-party broker-dealer partnership. Terrapin Technologies...
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