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News You Can Use

FINRA and SEC Announce 2017 Exam Priorities


OCC Updates Retirement Plan Handbook


J.D. Power and Associates Releases 2016 U.S. Small Business Banking Satisfaction Study


J.D. Power and Associates Releases 2017 Full Service Investor Satisfaction Study


J.D. Power and Associates Releases 2016 Retail Banking Satisfaction Study


J.D. Power and Associates Releases 2016 Financial Advisor Satisfaction Study


FDIC Issues Consumer Alert on Market Linked CDs


Sales Quality Group Launches Online Branch Audit Services


FINRA Survey Identifies Consumer Financial IQ By State

The FINRA Investor Education Foundation recently completed a massive survey of 28,000+ consumers nationwide to help identify Consumer Financial IQ by State. More...

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

News

FINRA and SEC Announce 2017 Exam Priorities

January 2017 - In January of this year, both FINRA and the SEC published their 2017 Exam Priorities. Click one of the links below to view either document. You can also find copies of both documents on the Resources page of our website.

FINRA 2017 Exam Priorities

SEC 2017 Exam Priorities


OCC Updates Retirement Plan Handbook

February 12, 2014 - The Office of the Comptroller of the Currency (OCC) issued a newly revised version of its "Retirement Plan Products and Services" handbook.  The updated booklet, replaces a similar booklet dated 2007.  The handbook provides updated guidance to examiners and bankers on retirement plan products and services offered to customers of national banks and federal savings associations, explains the risks associated with such products and services and provides a framework for managing those risks.

OCC 2014 Retirement Plan Handbook


J.D. Power and Associates 2016 U.S. Small Business Banking Satisfaction Study

October 27, 2016 - J.D. Power and Associates recently released the 2016 U.S. Small Business Banking Satisfaction Study. This study found that overall satisfaction among small business banking customers has declined due to dissatisfaction with problem resolution and with the most frequently used transaction methods, branch and online. However, satisfaction with fees has increased.

Press Release


J.D. Power and Associates 2017 Full Service Investor Satisfaction Study

April 2017 - J.D. Power and Associates recently released the 2017 Full Service Investor Satisfaction Study. This study found that as markets continue to rise, overall investor satisfaction with full service investment firms continues to increase for the second consecutive year, heavily influenced by the type of relationship that investors have with their advisor

Press Release


J.D. Power and Associates 2016 Retail Banking Satisfaction Study

April 28, 2016 - J.D. Power and Associates recently released the 2016 Retail Banking Satisfaction Study. This study found that consumer satisfaction with retail banks has improved significantly, due largely to improvements made by big banks.

Press Release


J.D. Power and Associates 2016 Financial Advisor Satisfaction Study

June 30, 2016 - J.D. Power and Associates recently released the 2016 Financial Advisor Satisfaction Study. This study found that the satisfaction of independent financial advisors is improving more than that of employee advisors. The study identifies key areas that impact financial advisor satisfaction.

Press Release


FDIC Issues Consumer Alert on Market Linked CDs

June 7, 2012 - It took them a while, but the FDIC has finally come out with an alert advising consumers of the risks associated with Market-Linked CDs. Our mystery shop results show quite a variation between advisors on how MLCDs are explained and sold. This article discusses some questions investors should ask before choosing to invest in an MLCD.

Read Article


Sales Quality Group Launches Online Branch Audit Services

March 4, 2015 - Sales Quality Research Group, Inc., of Tempe, Arizona, is pleased to announce the 2011 version of its proprietary Online Branch Audit System.  Designed specifically for broker dealers, investment sales programs and TPMs, the highly sophisticated and interactive online system provides a consumer friendly and cost-effective way to conduct branch and OSJ audits, manage the audit process, and generate key reports necessary to comply with applicable legal and regulatory requirements (NASD Rule 3010).

SQG’s Online Branch Audit System replaces what has historically been a cumbersome, time-consuming and paper-intensive process with a state-of-the-art, secure, online system providing real-time (24/7) support for auditors, sales managers, program managers and senior management via the Internet. Clients have the choice of designing their own branch audit questionnaire or using a customized version of Sales Quality Group’s model “best practices” questionnaire. Sales Quality Group can also provide experienced auditors to assist clients in conducting their required annual audits. More...

Download Branch Audit System Information PDF


FINRA Survey Identifies Consumer Financial IQ By State

January 25, 2011 - The FINRA  Investor Education Foundation has recently completed a massive survey of 28,000+ consumers nationwide to help identify Consumer Financial IQ by State.  The study measures the financial acumen of consumers on a variety of subjects across all 50 states.  While residents of New York, New Jersey and New Hampshire seem to know the most about money matters, some of the other results may surprise you. The survey data and an interactive state-by-state map can be found at the FINRA website: http://www.usfinancialcapability.org/. Click on the links below to read the reports summarizing the results of the study, plus view a spreadsheet that will allow you to drill down on state-by-state data.

FINRA - Financial IQ By State

FINRA - IQ Top and Bottom Five States

Website for The Committee of Annuity Insurers