During a panel at FINRA's annual conference, Executive Vice President and Chief Legal Officer Bob Colby said the agency is speaking with SEC staff about the extension.
Ted Pick, the architect of Morgan Stanley’s trading revival, and Andy Saperstein, who built the company into a wealth-management powerhouse, were tapped as co-presidents.
Watch as Todd Fulks, Sr. Vice President Succession Planning & Business Acquisition, Advisor Group, talks with Wealthmanagement.com about the challenges that financial advisors are facing and talks about the “10 pieces of the puzzle” for a succession plan.
Customer onboarding processes continue to present meaningful challenges for advisors. Join this webinar on May 26th as industry specialists from RBC, Salesforce, MuleSoft and Deloitte Digital discuss practical insights on how to digitize and simplify the onboarding process.
