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Entries related to: ria-news

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 over custody rules and strengthen audit requirements.
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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. Understanding how they do business online is an important step toward understanding their needs. Here's a great infographic about the financial habits of baby boomers. It can give you insight into how to better market your services to this segment of the population.
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