Creating a base of loyal clients and customers who come back to purchase goods and services after an initial purchase is essential for small businesses to be successful. Remembering who clients are ...

I'm looking to buy a small broker-dealer. The seller informed me that the clients have all transferred their accounts out (which is fine with me). However, it's my understanding that I have to retain ...

An effective portfolio management platform helps you organize client accounts, automate routine tasks, and keep your data accurate and secure. With the right software, you can focus more on client ...

Using technology to become more efficient is great from a practice-management standpoint. But wouldn’t it be even better if the technology saved tax dollars for your clients also? It seems like the ...

Cybercriminals are perfecting their methods of taking over customer accounts, officials at the Financial Industry Regulatory Authority warned at its annual conference yesterday. Finra has received an ...

CPAs often have clients with an interest in or signature authority over a foreign account. The IRS has emphasized compliance in reporting requirements for U.S. owners of foreign accounts, but many ...

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, ...