• Keep the commission business with the BIC exemption, which requires complete transparency of compensation, individual client signature, and demonstrating the representation of a client’s best interest;
  • Converting to fee-based, which means more responsibility as a fiduciary, but potentially lower profitability for smaller accounts;
  • Drop smaller commission-based accounts and let them fend for themselves; or
  • Just execute client-directed trades instead of providing advice.
  • Read more here.]]>

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