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Tales From The FINRA Trenches

We are collecting battle stories from the regulatory trenches. Send us yours. We will be opining on happenings and happenstances for your amusement, and edification, as the case may be.

I’ll have a BICE Lite with lime please..

Raise your hand if you are a Financial Advisor (RIA or B/D) and you know what BICE stands for. How many of you can explain the difference between BICE and BICE Lite? I have read everything I can get my hands on these last three hours and I still would need to enter the test… Keep Reading

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