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Articles Written by Jon Henschen

Regulatory Scope Creep: a Look at the Five-Year Trend

18:46 14 March in Articles Written by Jon Henschen

March 2013
by Jon Henschen

At the recent OneVoice 2013 FSI Broker Dealer Conference held in San Diego, California, a broker dealer president was quoted as saying,  “Regulation, like the Obama tax, is here to stay, just deal with it. It’s a cost of doing business.”  It surprised me to hear this from the head of a broker dealer, let alone that it was said at the FSI Conference, which is one of the few forums our industry has to advocate against increasing Washington intrusion.

For many of us in an already over-regulated industry, we are growing numb to the daily onslaught of regulatory proposals. In our world of recruiting, we can look back just five years and see a drastic change in the regulatory landscape.

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That Which Seems Intuitive Is Often Wrong

17:02 25 January in Articles Written by Jon Henschen

February 2013
by Jonathan Henschen and featured in Investment Advisor

Experience shows that reality is often less obvious than your intuition would lead you to believe

One of my summertime readings was John Stossel’s book, “No They Can’t: Why Government Fails—But Individuals Succeed.” Stossel, a journalist, Fox cable network host and avid libertarian, delves into a multitude of examples of how we intuitively run to government to solve problems.

In Stossel’s book, he argues that we should abandon our beliefs that a government can cure all national ills and instead “retrain our brains to look at only the facts, to rethink our lives as independent individuals—and fast.”

As I read through Stossel’s take on some of our social issues and why our intuitions about them are wrong,

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6 Overlooked Criteria for Broker-Dealer Due Diligence

21:57 24 October in Articles Written by Jon Henschen

November 2012
by Jon Henschen and featured in Investment Advisor

When investigating a new broker-dealer, you may not be looking at the following criteria—but you should Broker-Dealer Due Diligence

Illustrations by Shaw Nielsen

It’s not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction. Quick relief in the form of better technology and payout, ticket charges, expenses and transition support can be very attractive. However, focusing on the long-term benefits will go a lot further in securing a new broker-dealer relationship that will last. Here are six criteria worth investigating to help ensure that when you make a broker-dealer change, it’s the right one.

Broker-Dealer Due Diligence

1. Check the firm’s profitability and financials.