Oyster Stew - A Broth of Financial Services Commentary and Insights
Oyster Consulting
Our financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities.
Episodes
Pros and Cons of Platform Ownership for Investment Advisors and Broker DealersJune 27, 2024
How To Launch Your Alternative Trading System (ATS) - Insights and ChallengesJune 14, 2024
Modernizing FINRA Rule 4210: Impacts to Market Makers and the Role of AutomationMay 28, 2024
FINRA Focus Areas: Communications, Reg BI and Complex ProductsMay 06, 2024
Broker-Dealer Technology: Tomorrow's Platform Transformation TodayMay 02, 2024
AI in Wealth Management - FINRA, Supervisory Obligations and Protecting ClientsApril 18, 2024
AI in Wealth Management - SEC Actions, Best Interest Rules and RecordkeepingApril 10, 2024
Cyber Risk Management: Insights for CCOsMarch 13, 2024
SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership RequirementsFebruary 28, 2024
FINRA AML Expectations - The 2024 Annual Regulatory Oversight ReportFebruary 23, 2024
Drivers of Change - The Clearing & Custodian TransformationFebruary 01, 2024
Compliance Across The Industry - Lookback to 2023January 17, 2024
How to Successfully Manage Regulatory RemediationJanuary 10, 2024
Dispute Resolution - Managing Customer Complaints & Regulatory InquiriesNovember 30, 2023
SEC Exam Priorities - Broker-Dealer Trade PracticesNovember 16, 2023
Successful FINRA CAT and CAIS Reporting - Part 2November 02, 2023
Finding Success with FINRA CAT / CAIS Reporting - Part 1October 19, 2023
Broker-Dealer Growth - Is Affiliation the Right Option? October 04, 2023
Bond Dealer's Association Podcast: Listening SampleSeptember 18, 2023
How to Use FINRA Sweeps To Your Advantage - We Do and You Can, TooAugust 31, 2023
Registering a Broker-Dealer: The NMA and CMA Process ExplainedAugust 04, 2023
Broker Dealers - Navigating the Pressure to Sell and InnovateJuly 13, 2023
Exploring Business Models for Peak ProfitabilityJune 15, 2023
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The SEC Rules: How Modernizing Rule 605 Impacts Your FirmJune 01, 2023
Protect Your Vulnerable Customers: Combating Investor FraudMay 18, 2023
