Client Communications

The first e-mail appeared innocuous enough. It simply asked the rep for the current balance in the client's account. After the rep replied, in came ...

By now you may have heard that President Obama last week signed into law the JOBS Act - which stands for Jumpstart Our Business Startups ...

This final rule introduces the Dodd-Frank reforms to require documentation between a customer and a futures commission merchant on clearing trades.

Here is a list of best practices when it comes to issues of privacy.

A peer shares the firm's request form for wired transfers. This includes seven red flags of possible fraud as procedures to follow.

Click here to open a Word file that is an example of a letter you can send your clients alerting them that your correspondence includes ...

Having a client request your firm make a charitable donation is about as assured as knowing that April brings Spring rains. Firms are free to ...

Hard to believe it was one year ago when most firms were hustling to produce their first plain-English Form ADV brochure. With one brochure under ...

The latest warning comes from FINRA, which last week put out an investor alert about "email hack attacks." The SRO cited "an increasing number of ...

Dodd-Frank ordered that the value of a person's primary residence not be considered when determining if a person's net worth tops the $1 million threshold ...