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Registered Rep.
January 1, 2006
Gresham & Gresham |
Riding the Retirement Wave Baby boomers are intent on getting the most out of life and their money for many years to come. But what does this demographic really need and what does that mean for your financial advisory practice?   |
Registered Rep.
January 1, 2006
Bill Singer |
Signed, Sealed and Suspended A lot of brokers would be well advised to follow the law when it comes to notarizing signatures: Where No Trouble Is Big Trouble... Improvising a Play... |
Registered Rep.
January 1, 2006
Mindy Diamond |
Planning a Safe Journey to Life at a New Firm If well-prepared, brokers can make a great career move by moving to a new firm. Here are some tips for a smooth transition: Legal Advice... Office Space... Client Records... Sales Support... etc. |
Registered Rep.
January 1, 2006
Matt Oechsli |
Developing Your Business Mode Here are five key, but simple, questions to help financial advisors create their perfect business model. |
Registered Rep.
January 1, 2006
Dan Reingold |
The Insiders' Game This author and Wall Street analyst concludes in his new book, Confessions of a Wall Street Analyst, that we'll never get a clear read on exactly where some insiders went wrong and whether our securities laws, regulations and sanctions are sufficient to deter such behavior in the future. |
Registered Rep.
January 6, 2006
Halah Touryalai |
NASD Mistakenly Failed Nearly 2,000 Aspiring Brokers Who Took Series 7 Last Year The NASD reported today that it is notifying 1,882 individuals that they wrongly received failing grades as the result of a software error. |
Bank Technology News
January 2006
John Engen |
Natural Selection Five years after the dot.com crash, Corillian CEO Alex Hart is among the pack of e-commerce executives who are fighting for survival in a more sober, profits-before-flash world where institutions expect a return on their investment. |
Bank Technology News
January 2006 |
Better Info Security Driven By Regulatory Compliance If information security is to become a strategic priority, then banks can start by reviewing existing practices -- their own and that of those companies with which they do business. |
Bank Technology News
January 2006
Glen Fest |
Data Breach Notification: States Differ On When To Sound The Alarm Legislative action on how and when banks should sound the alarm when there's been a data breach has lagged on the federal level, leading to a broad mix of state measures. |
Bank Technology News
January 2006
John Adams |
Wholesale Mortgages: UBOC's Broker Road Becomes Automated The lender's strategy is heavy on implementing electronic loan execution. The goal? Cutting cost and time-and eliminating paper from desks of customer-facing partners. |
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