When starting a Registered Investment Advisor there are fundamental aspects you must understand before taking this step. Oyster's experts Brent Nicks, Nolan Hughes and Dan Garrett provide an overview into things you need to think through and put in place to build a solid foundation for your firm’s success:

• Establishing Key Positions
• Navigating Partnerships
• Risk Management and Compliance
• Operations Must-Haves
• Choosing a Custodian
• Strategic Growth Planning

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

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• Affirmation and fail rates,
• margin balances,
• securities lending
• and his outlook for the future around T+1

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

If you are a start-up or an established wealth management firm, determining whether you want to manage your own operating platform or outsource it is an important strategic decision. There are many factors to consider, from cost and available resources to integration and client experience.

In today’s podcast Oyster experts Dan Garrett and Jay Donlin share their expertise on what goes into establishing and managing your own platform, common pitfalls and using out-of-the-box vendors vs customized builds.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

In today’s podcast Oyster experts share their insights into what to think about as you prepare to register an alternative trading system, or ATS. Jeff Gearhart and Lisa Robinson will discuss challenges and misconceptions, and then Lisa will take us through some highlights of the FINRA application process. We finish up with other things to consider once your ATS is up and running.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

After nearly a decade of delays, FINRA is finally enacting amendments to Rule 4210. The new Covered Agency Transaction requirements became effective May 22nd, 2024. Oyster’s Jeff Gearhart, Jose Fernandez and Stephen Mellert, co-founder of Matrix Application’s margin calculator, share their insights into what the new rule means for market makers, the capital implications, and the importance of automation.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

In today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales. We’ll look at challenges our clients are facing and best practices when it comes to:

· Communications with the Public and Advertising

· Reg BI and its focus on the Care Obligation

· Complex Products, from variable annuities to private placements

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Oyster experts Pete Bowman and Dan Garrett share their insights into what the broker-dealer community is facing when it comes to evolving platforms, changing business models, AI technology, firm acquisitions and the platform consolidations that happen afterward.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!

Oyster Consulting experts Casey Dougherty, Dan Garrett and Bryan Jacobsen discuss FINRA’s exploration of AI, supervisory obligations with regard to outsourcing AI technology to firms, and best practices for maintaining compliance and protecting clients.

Learn more in our previous podcast, part 1 of the series, as our experts share their insights on AI's impacts on Regulation Best Interest and recordkeeping, with a special focus on how the SEC’s actions around AI will affect compliance teams in the wealth management industry.

Oyster Consulting has the expertise, experience and licensed professionals you need, all under one roof. Follow us on LinkedIn to take advantage of our industry insights or subscribe to our monthly newsletter.

Does your firm need help now? Contact us today!