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 […]

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

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

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

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

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