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SIGNiX Blog
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SEC Changes to Enforce Tougher Custody Rules for Broker-Dealers
The SEC has adopted some important changes to broker-dealer reporting rules. The changes are meant to enhance oversight ...
Infographic: Financial Tech Habits of Baby Boomers
Whether you're an RIA or a broker-dealer, you know that it's critical to understand your clients and potential clients. ...
STUDY: Financial Advisors See Payoffs for Switching Firms
Fidelity has just released its second annual “Insights on Independence” study, and the results show that financial advis...
Broker-Dealers Weigh Options for Adopting New Technologies
The broker-dealer industry is quickly transforming to become a technology-driven sector. According to a TechLeaders Surv...
Regulators Fine Broker-Dealer $100k for Email Monitoring Lapses
A brokerage firm in Ohio has agreed to pay a $100,000 fine for sending emails to some of its clients promoting high-risk...
The Smart Way to Adopt Cloud Technology for Broker-Dealers
Though the worst of the recession seems to be behind us, growth opportunities for broker-dealers are still hard to come ...