Earlier this year we held our first broker webinar/teleconference on ten things to do - or not do - to help avoid regulatory troubles in 2013. I think it was well-received and well-attended, and so the series continues. Coming up on April 4, 2013, our second program in this series will be on Broker Transitions.
During this complimentary half-hour or so program, we'll discuss common legal and compliance issues relating to a broker changing from one broker-dealer to another, and highlight a few mistakes that ought to be avoided. And, we'll also talk about some of the business side issues that have to be considered as well.
This program is designed for any broker considering a career change in the near future,as well as others involved in the transition process. The program is free and on the phone and web, but you must register to attend, and space is limited. Get all the details and register here.
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