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NEWS


MINDY DIAMOND ON INDEPENDENCE: PRIVATE EQUITY DISRUPTING THE LANDSCAPE FOR THE
BEST TEAMS

Admin August 17, 2023August 17, 2023

Private equity firms are showing an enhanced interest in wirehouse breakaways,
investing directly in these teams on day one. Learn what’s driving this new
trend, which teams are most appealing,

Continue reading Mindy Diamond on Independence: Private Equity Disrupting the
Landscape for the Best Teams


BUILDING TRUST WITHIN OUR CLIENTS

Admin August 16, 2023August 17, 2023

Ask questions, acknowledge your clients’ humanity and do not be afraid to let
your own show.


THE HEALTHY ADVISOR: RESILIENCY AND OTHER LESSONS INSIDE LEHMAN

Admin August 16, 2023August 17, 2023

Mike Wunderli thought he had it all—an impressive book of business and a
successful cross-divisional business practice. Then, his firm went bankrupt.


WHAT CLIENTS NEED TO KNOW ABOUT THE CORPORATE TRANSPARENCY ACT RULES

Admin August 16, 2023August 17, 2023

The CTA broadens reporting to U.S. authorities of information—and personal
identification documentation—concerning beneficial ownership of nearly all U.S.
companies as well as foreign companies doing business in America.


WHAT IS HYPER-PERSONALIZATION – AND WHY SHOULD IT BE IMPORTANT TO FINANCIAL
PROFESSIONALS?

Admin August 15, 2023August 17, 2023

In a world on the cusp of historic wealth transfer, hyper-personalization
emerges as a pivotal strategy for financial advisors to attract, retain, and
deeply engage clients.


THREE STRATEGIES TO KEEP THE NEXT GENERATION OF CLIENTS

Admin August 15, 2023August 17, 2023

The financial advisor job is more than just crunching numbers. It’s about
understanding individual goals and needs, building a relationship based on
values, and offering sound advice tailored to each

Continue reading Three Strategies to Keep the Next Generation of Clients


'NO ONE WANTS TO WORK' IS A BAD EXCUSE

Admin August 15, 2023August 17, 2023

Is the problem with the employee or the employer? Mark Tibergien challenges the
notion that younger employees are solely responsible for shifting work habits
and delves into the crucial interplay

Continue reading 'No One Wants to Work' Is a Bad Excuse


FINRA MAKES IT EASIER FOR STATE REGULATORS TO OPPOSE EXPUNGEMENT

Admin August 14, 2023August 17, 2023

The adopted amendments released last week will cut down on alleged abuses in the
expungement process, according to a former president of the Public Investors
Advocate Bar Association.


SEC DELAYS DECISION ON ARK 21SHARES BITCOIN ETF FILING

Admin August 11, 2023August 17, 2023

The SEC had until Aug. 13 to say whether it would approve, reject or delay on
coming to a decision. 


LEGAL BATTLE BETWEEN FINRA AND FREQUENT FOE COULD BE A 'HEADSHOT' FOR THE
REGULATOR

Admin August 11, 2023August 17, 2023

Utah-based Alpine Securities is challenging the constitutionality of FINRA.
Given recent judicial decisions from more conservative courts, some legal
scholars think it may succeed.


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