Note: This story originally appeared on FINRA. You may read it here.Anybody remember the movie Office Space? That red stapler is iconic! When three employees...
Not sure how to communicate with your younger coworkers or clients? Looking to attract new clients that don't fit inside your box?We recently read The...
Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one simple mistake could ruin your career.You can...
Understanding Cyber Insurance Guest Blog Post by Linda M. Vecoli CPCU RPLU and Emma Feloni Are you concerned about the security of your data? Do you know...
[video width="1920" height="1080" mp4="https://www.myrialawyer.com/wp-content/uploads/2019/04/10-things-you-need-to-know-41219.mp4" autoplay="true"][/video]FINRA provides more guidance on communications with clients after brokers leave. FINRA moves forward on new rule proposals for broker-dealers...
Have you been taught to ask questions that will lead a potential client to say "yes"? Have you had a client say "yes" but then...
Are you worried about having to pay unemployment? Are you unsure of how to handle a meeting where you are terminating an employee? Do you...
U-5 Summary The Financial Industry Regulatory Authority (FINRA) establishes rules and regulations for broker-dealer member. This includes termination of employees. Within 30 days of terminating an...
Compliance in the Internet Age: Social Media & Digital Marketing Guidelines Part 3 of our Expert Interview with Leila Shaver, of My RIA LawyerThis post is part...
Compliance in the Internet Age: Regulators and Compliance Consultants Part 2 of our Expert Interview with Leila Shaver, of My RIA LawyerThis post is part of the...
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