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Apr 09, 2024

Learn how to compete for the entire client relationship.

FINRA Fines Florida B/D $500K For Not Retaining Business-Related Texts

Apr 08, 2024

Dawson James Securities failed to retain more than 10,000 business-related texts, including consumer complaints and client conversations, over 10 years, according to FINRA.

Ask The Experts: The Corporate Transparency Act

Apr 08, 2024

This new law, which took effect Jan. 1. 2o24, was enacted to help prevent and combat money laundering, terrorist financing, corruption, tax fraud and other illicit activity. It requires corporations, limited liability companies and other filing...

J.D. Power: DIY Investors’ Satisfaction 'Stagnates' Despite Rising Market

Apr 04, 2024

According to J.D. Power’s annual survey on self-directed investors, Fidelity took the top marks for DIY investors seeking guidance, with Charles Schwab following closely behind.