New Podcast: COVID-19 and Your Business Continuity Plan

In light of the evolving progression of the COVID-19 virus, today’s podcast “COVID-19 and Your Business Continuity Plan” discusses what firms should be considering when it comes to their Business Continuity Plan.  Are you ready to provide the critical services to your clients if you must close your business during a quarantine?  What if 20%… READ MORE

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New Podcast: Clearing Platform Selection and Implementation

The analysis to decide if it’s best to invest in your current platform or consider a different path should not be ignored or pushed too far into the future. In this week’s episode of Oyster Stew, Part 2 of a 3, Managing Director Pete McAteer discusses what you should do after you’ve identified any gaps… READ MORE

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Hiring an Expert Witness: What to Look For

Finding the right expert witness can have a significant effect on the outcome of your case and the amount of time needed to prepare for and to try the matter. Expert witnesses can help you evaluate the strengths and weaknesses of a case. They can also assist with trial strategy, examination and cross examination of… READ MORE

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New Podcast Episode: Should You Be Assessing Your Clearing Platform?

Competitive challenges are causing forward-thinking firms to determine the appropriate process, technology, financial and strategic investments to stay ahead or even just keep up. the analysis to decide if it’s best to invest in your current platform or consider a different path should not be ignored or pushed too far into the future. In this… READ MORE

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What makes a strong FINOP?

FINRA requires all broker-dealers to designate a Principal Financial Officer (PFO), Principal Operations Officer (POO) and a Financial and Operations Principal (FINOP). Each of these positions must have passed the appropriate licensing exam to be registered as a Financial and Operations Principal (Series 27 or 28), depending on the broker-dealer’s business. In small firms, these… READ MORE

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New Podcast: 2020 Exam Priorities, Part 3

This week’s episode of Oyster Stew is Part 3 in a series discussing the SEC and FINRA 2020 Exam Priorities Letters.  Oyster Consulting CEO Buddy Doyle, Director Evan Rosser and Consultant Joe Turner talk about Technology and Cybersecurity, Business Continuity Plans, Cash Management and Bank Sweeps. Oyster provides free resources such as podcasts and blogs, as well a… READ MORE

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Your Form ADV – Beyond Checking the Box

Additionally, Reg BI requires that firms file Form CRS.  The SEC has said that to answer some parts of Form CRS, you may link to other places where the relevant information resides, and a lot of that information is already in your ADV part 2A brochure.  Even if you don’t take advantage of your new… READ MORE

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