Oyster Stew - A Broth of Financial Services Commentary and Insights Podcast Artwork Image

Oyster Stew - A Broth of Financial Services Commentary and Insights

Oyster Consulting

Our financial services industry insights come from on-the-ground experience, successfully navigating complex  challenges and business. Our insights are your opportunities.

Episodes
SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership RequirementsFebruary 28, 2024
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FINRA AML Expectations - The 2024 Annual Regulatory Oversight ReportFebruary 23, 2024
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Drivers of Change - The Clearing & Custodian TransformationFebruary 01, 2024
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Compliance Across The Industry - Lookback to 2023January 17, 2024
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How to Successfully Manage Regulatory RemediationJanuary 10, 2024
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Dispute Resolution - Managing Customer Complaints & Regulatory InquiriesNovember 30, 2023
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SEC Exam Priorities - Broker-Dealer Trade PracticesNovember 16, 2023
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Successful FINRA CAT and CAIS Reporting - Part 2November 02, 2023
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Finding Success with FINRA CAT / CAIS Reporting - Part 1October 19, 2023
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Broker-Dealer Growth - Is Affiliation the Right Option? October 04, 2023
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Bond Dealer's Association Podcast: Listening SampleSeptember 18, 2023
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How to Use FINRA Sweeps To Your Advantage - We Do and You Can, TooAugust 31, 2023
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Registering a Broker-Dealer: The NMA and CMA Process ExplainedAugust 04, 2023
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Broker Dealers - Navigating the Pressure to Sell and InnovateJuly 13, 2023
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Exploring Business Models for Peak ProfitabilityJune 15, 2023
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The SEC Rules: How Modernizing Rule 605 Impacts Your FirmJune 01, 2023
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Protect Your Vulnerable Customers: Combating Investor FraudMay 18, 2023
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DOL PTE 2020-02 - What Comes NextMay 04, 2023
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Unpacking DOL PTE 2020-02May 04, 2023
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Are You Ready To Outsource Your CCO?April 20, 2023
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Digital Assets - What Happens Now? April 04, 2023
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Digital Assets - The Regulatory EvolutionApril 04, 2023
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Digital Assets - How We Got HereApril 04, 2023
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Proactive Strategies for Reg BI, Sales & CommunicationsMarch 23, 2023
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Bond Dealers Association Podcast: SampleMarch 14, 2023
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