Broker Dealer Notes

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Welcome to Broker Dealer Notes

Broker Dealer Notes is a wikia dedicated to discussing the independent broker dealer industry.

We hope to see topics including:

  • Current industry trends
  • Careers with broker dealers
  • Compliance
  • Marketing
  • Operations
    • Clearing Firms
    • Fee-Based Programs
    • Traditional Commissions-based
    • Insurance
    • Ideas for improvement
  • Recruiting and Retention
  • Technology
  • Transitioning

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