Summary: Broker-dealers’ office of supervisory jurisdictions are evolving in response to new competitors, technology innovations, recent regulation and continued industry consolidation, a new study shows.
 An unexpected finding of this study runs counter to the concept of the ‘Super OSJ’ frequently referred to in the industry. Among the business builders identified in this study, we found that small firms were equally equipped to deliver a consulting model to advisors as their ‘supersized’ peers.”Matt Matrisian, senior vice president of strategic initiatives, AssetMark |
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