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Posted by FP Transitions on March 31, 2017
INTRODUCING Roundtable Talks – A New Video Series
Introducing our new web series: Roundtable Talks. We’ll feature FP experts–along with some guests–sharing their opinions on what’s going on in the financial services industry.
Real experts, real opinions, no script.
Our first episode centers around...
Posted by Marcus Hagood on October 18, 2016
SEC Proposed Rule 206(4)-4 & Proposed Amendments to Rule 204-2 Business Continuity & Transition Plans
In past years, the slow and steady migration of independent financial service providers to the independent Registered Investment Advisory (RIA) channel has been well documented. As the number of state and SEC registered advisors continues to swell,...