Keeping your head above water means you’re doing one of two things: you’re floating on the surface, or you’re actively treading water.
Since most of us aren’t buoyant enough to float forever, we’re going to have to stay in constant motion, just to avoid sinking. The same can be said in business.
This post on 2019 FINRA and SEC examination priorities sets to help you avoid a nightmare. One of the least favorite activities a firm goes through is a regulatory examination. Broker-dealers (BDs) …
It was 50 years ago that NASA entrusted Apollo 11 with taking a man to the moon and safely returning him home. The hardware and software that controlled the flight and safety …