The past two months I have written about on-boarding new clients and EPRTM in order to get a closer look at helping your client achieve clarity; specifically around where to put their extra cash flow each month. In my book, “The Role of Liability Management in a Successful Financial Services Practice” I go into the … Read more
The Financial Industry Regulatory Authority (FINRA) regulates broker-dealers and their registered representatives. Over 10 years ago, FINRA issued a few investor alerts and notices regarding the use of mortgage funds for investment purposes. Here are the direct links: http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p012714.pdf http://www.finra.org/Investors/ProtectYourself/InvestorAlerts/MarginAndBorrowing/p005961 As you can tell by reading the notices, FINRA does not prohibit broker-dealers or their … Read more
