- On Best Execution for Municipal Dealers
- FINRA Enforcement ~ 2013 Dollars & Sense
- Dirty Dozen Tax Scams for 2014
- Focus on Broker Cyber-Security
- Advisors in Never-Examined Land
- On Erasing Complaints Against Brokers
- More Judicial Info on BrokerCheck
- ACA Employer “Play or Pay” Delayed Another Year
- The M&A Brokers Relieved of Registration
- Should CPOs & CTAs Have a Capital Requirement?
The world of financial services is growing more complex.
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CPAs, FinOps and consultants for the financial services industry.