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

Reaching the Next Generation of Investors
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...

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Successful Customer Onboarding
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...

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Insights, advice, and best practices to help investment services firms grow their business.