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MARTECH MINUTES: A Vendor’s View – ‘FINRA Reviewed’ vs. ‘Compliance Reviewed’

As industry compliance and marketing professionals recognize, Rule 2210 aims to ensure that all marketing materials are fair, accurate, and not misleading.

MARTECH MINUTES: How Firms Can Avoid FINRA Advertising Review Fines

Many in the financial industry stray towards the vaguer side of guidelines and regulations because they can sometimes be complex and often confusing.

RegTech Stakes Rise as FINRA Intensifies Options Trading Scrutiny

In June, Gary Gensler, Chairman of the Securities & Exchange Commission (SEC), discussed his heightened interest in oversight of options trading, an activity that has continued to increase across the financial markets over the past 16 months in particular.

AI & Finance™ | News for the Week Ending 6/7/24

Months after launching AI and Finance, the world is still in the extremely early stages of integrating artificial intelligence technology with the financial services...

DWN Publisher Notes For 4/10/24

There's so much industry news in the latest edition.  Our Top 5 VC Deals column this week shows top funded deals trending down again under the "magical" $100M threshold.  Lots of interesting tidbits, too, in The Week in Digital Wealth. READ UP!

The Week in Digital Wealth (4/8/24)

Are end-to-end solutions the future of finance? That may (seem to be) the case, with collaborations and integrations hinting at improved consumer access. That said, regulators...

Advisor Tech Talk (Week of 4/1/24)

Today’s Advisor Tech Talk should stand as an example of the momentum behind wealth management technology.  See, it being “spring break” week...

Advisor Tech Talk (Week of 3/11/24)

As fintech continues to proliferate and transforms the wealth management landscape, advisors are engaged in not one, but multiple arms races.  The...

AI & Finance™ | News for the Week Ending 3/8/24

Once again, we have a rather large and long list of financial artificial intelligence-related headlines and announcements this week. And once again, it’s only...

DWN Publisher Notes For 2/27/24

Friends, it's a leap year, astrology charts are lining up just like 1776 & AI is set to revolutionize the world. Meanwhile, who's Al Isenberg (AI)?  As we navigate thru uncharted political, economic & societal changes this year, DWN provides a consistent voice of authority on all things fintech & life goes on. READ UP!