Oyster Stew - A Broth of Financial Services Commentary and Insights Oyster Consulting

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 PositionsNavigating PartnershipsRisk Management and ComplianceOperations Must-HavesChoosing a CustodianStrategic Growth PlanningOyster Consulting has the expertise, experien...

May 2024 saw the implementation of two major industry projects: T+1 and go-live compliance for CAT/CAIS reporting. Experts Jeff Gearhart and Ralph Magee provide the latest updates on T+1 from industry meetings and key participants, including Affirmation and fail rates, margin balances, securities lending and his outlook for the future around T+1 Our experts also discuss what industry members and clients are seeing post implementation, what they can expect to see in t...

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...

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...

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...

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 placementsOyster Consulting has the expertise, experience and licensed profe...