The intricacies of the consumer decision-making process are not to be taken lightly, especially when it comes to purchasing notes such as non-performing mortgage or real estate notes. The five steps involved in this process – problem recognition, information search, evaluation of alternatives, purchase decision, and post-purchase evaluation – can leave even the most seasoned […]
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As a broker of notes, your role in the finance and real estate industries is nothing short of paramount. You are entrusted with the task of mediating transactions between note sellers and buyers, ensuring that both parties emerge satisfied from the deal. However, don’t be deceived into thinking that this is an easy feat to
Note Brokering Basics Read More »
The Importance of Record Keeping for Note BrokersContents1 The Importance of Record Keeping for Note Brokers2 Understanding Record Retention Requirements for Brokers3 Books and Records Requirements for Broker-Dealers4 Securities Exchange Act and Record Keeping Rules5 Specific Records that Broker-Dealers Must Maintain6 Effective Date of Rules a- and a-7 Policies and Procedures for Record Keeping Compliance8
Maintaining Accurate Records and Documentation Read More »
Understanding the Role of a Broker-Dealer and Investment AdviserContents1 Understanding the Role of a Broker-Dealer and Investment Adviser2 Regulations Governing Conflicts of Interest for Broker-Dealers and Investment Advisers3 The Role of FINRA in Regulating Broker-Dealers and Investment Advisers4 Fiduciary Standard of Conduct: What Investors Need to Know5 FINRA Rule Addressing Suitability Obligations for Broker-Dealers6 Regulation
Providing Guidance and Advice to Clients Read More »
Staying Up-to-Date with Recordkeeping Requirements in the Securities IndustryContents1 Staying Up-to-Date with Recordkeeping Requirements in the Securities Industry2 Regulations and Standards for Broker-Dealers: Understanding the Basics3 The Importance of Compliance with Books and Records Rules for Brokers and Dealers4 SEC Final Rule on Record Retention: What You Need to Know5 Understanding the Amendments to Rules
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The Importance of Building Strong Business Relationships with ClientsContents1 The Importance of Building Strong Business Relationships with Clients2 Strategies for Effective Client Relationship Management3 How to Maintain Strong Client Relationships in Real Estate4 The Role of CRM in Managing Client Relationships5 Communication Techniques for Successful Client Relationships6 Utilizing Newsletters and Anniversaries to Strengthen Client Relationships7
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The Role of Brokers in Facilitating Trades of SecuritiesContents1 The Role of Brokers in Facilitating Trades of Securities2 Understanding the Importance of Agreements in Note Trading3 Frequently Asked Questions About Note Trading and Brokering4 The Function and Regulation of Alternative Trading Systems5 Securities Positions: What They Are and How They Affect Trades6 The Responsibilities of
Facilitating the Transfer of Ownership of Notes Read More »
Understanding Mortgage Notes: A Comprehensive Guide to Note InvestingContents1 Understanding Mortgage Notes: A Comprehensive Guide to Note Investing2 The Importance of Due Diligence in Note Investing3 How to Perform Due Diligence on Performing and Non-Performing Notes4 Finding Investment Opportunities: Where to Buy Mortgage Notes5 Becoming a Note Investor: What Every Investor Should Know6 The Pros
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Understanding the Role of Seller, Buyer, and Real Estate Agent in Note BrokeringContents1 Understanding the Role of Seller, Buyer, and Real Estate Agent in Note Brokering2 Preparing and Presenting a Purchase Offer: Best and Final Offer, Counter Offer, and Negotiation Process3 Contingencies, Escalation, and Confidential Information in Making an Offer in Real Estate4 Net Proceeds,
Preparing and Presenting offers to Buyers and Sellers Read More »
Negotiation Strategies for Note Brokers: Tips for Closing Deals with Buyers and SellersContents1 Negotiation Strategies for Note Brokers: Tips for Closing Deals with Buyers and Sellers2 Understanding the Seller’s Perspective in Note Brokering: How to Build Trust and Secure Deals3 Navigating Buyer Demands in Note Brokering: How to Negotiate Purchase Terms and Conditions4 The Art
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