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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.
Options Visionary & Cboe Founder Joe Sullivan Passes
Earlier this week, Cboe issued a statement announcing the passing of the exchange's founder Joe Sullivan on October...
AI & Finance™ | News for the Week Ending 11/22/24
Here at AI & Finance, I believe that, week in and week out, we offer an editorial tableau that stands as a convincing argument...
Advisor Tech Talk (Week of 11/20/24)
It’s another week, and wealthtech is bigger and busier than ever before.
And if you think wealthtech is big—we'll refer you below...
The Week in Digital Wealth (11/19/24)
Things settled down to a steady hum, with integrations dominating the Fintech conversation. Utility returned as innovators continued to find new ways to handle...
Decentralized Diaries for the Week of 11/19/24
Last week was all about blockchains. Every institutional behemoth had an interest in blockchain-related issues. On the other hand, the regulatory drama continued to...
Prudential Advisors and LPL Financial Set New Digital Benchmark in Wealth Management Collaboration
In an industry-first move, Prudential Advisors, the retail arm of Prudential Financial, Inc. (NYSE: PRU), and LPL Financial (Nasdaq: LPLA) have completed their strategic...
AI & Finance™ | News for the Week Ending 11/15/24
The hits keep coming, don’t they?
November may be the cruelest month for an artificial intelligence and financial technology journalist, because there’s so much going...
The Week in Digital Wealth (11/12/24)
The earnings season and the elections were a potent combination for a slightly subdued industry. Innovation continued, with everything pointing toward an intense year-end.
Headlines...
FINTECH VIEWS: Driving “tru” Transformational Growth for Independent RIAs
The constant search for size and scale among independent wealth management enterprises has some financial advisors questioning whether bigger is indeed better – especially...