3 Commonly Overlooked Records Subject to SEC Rule 17a-4

Don't overlook these three categories of documents that meet the books and records standard under SEC Rule 17a-4 for broker-dealers.

Tips for Surviving a FINRA Audit of 17a-4 Compliance

Tips to help broker-dealers be “audit ready” for compliance with the records retention provisions of Rule 17a-4 of the Exchange Act.

Wealth Management Compensation in a Reg BI World

An overview of Regulation Best Interest (Reg BI) and the changes it will bring for investment firms and advisors, as well as customers.

Understanding SEC Rule 17a-4

This article clarifies various aspects of SEC Rule 17a-4 regarding the preservation and maintenance of records.

25 Ways your Incentive Compensation Program is Leaking Profits from…

Here's how your financial services business may be losing revenue and profits through a wide range of seemingly small inefficiencies, poor procedures, misalignments, and human errors.

Incentive Compensation Management Trends

How your firm performs in achieving its strategic business objectives is the result of many factors, but few are as important as your advisor incentive compensation plan. With so many…

What Advisors Really Don’t Like About Their Incentive Compensation Plans

Here are six things advisors don't like about their firm’s incentive compensation plans and how these issues can impact the achievement of performance objectives.

Top 5 questions asked by Xtiva customers and prospects

Jeff Marsden answers top questions Xtiva customers and prospects ask about incentive compensation, sales performance and technology in wealth management.

Mistakes advisory firms make with incentive compensation

Incentive compensation is among the most important aspects of the advisory business, but many firms are making mistakes that hinder their performance.

The Destination is Maximum Advice

What is your financial advisory business doing to ensure your customers receive the best advice you can deliver?

Women making a difference in financial services

Observations from the 3rd annual Women to Watch awards luncheon in New York City on March 13, 2018.

Top Reads on Incentive Compensation

Seven articles that offer valuable insights into incentive compensation in the financial industry.

10 Ways Advisors can Prosper in the new Wealth Management

Here's how advisors need to adapt their practices so that they can not only survive, but thrive, in the new wealth management industry.

Robo-Advice and the Great Reckoning

A great reckoning is underway in wealth management, accelerated by the emergence of the robo-advisor.

Merrill Lynch’s big shift in Incentive Compensation

Merrill Lynch's recent incentive compensation changes signal a shift towards a stronger Sales Performance Management posture in the organization and the wealth industry as a whole.