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More than a third of advisors want more control over their business when going independent or switching their broker dealer, but one wrong step, could cause significant legal issue to arise. 

More than a third of advisors want more control over their business when going independent or switching their broker dealer, but one wrong step, could cause significant legal issue to arise. 

Slight friction between regulators and industry players signaled (forthcoming) interesting interactions between both parties. Everything continued humming as usual, but a user-centric approach to...

Innovation continued to rule the industry, with bad actors continuing to find new ways of performing their nefarious activities. Institutional interest also continued to...

By Greg Woolf, AI RegRisk Think Tank The controversy surrounding California’s SB 1047 and its attempt to regulate AI is gaining steam—from both supporters and...

Artificial intelligence is big now, but it’s going to get bigger.  I guess we could start out every week’s AI & Finance by saying that,...

As the July 2024 CrowdStrike outage reinforced, cyber incidents can be devastating whether they originate with a bad actor or not. That’s why, across...

The demographics are telling: More Americans are turning 65 in 2024 than ever before. The precipitous decline in defined benefit programs, recent economic uncertainty...

Last week was (seemingly) all about Bitcoin. That said, the industry hit several (significant) milestones, with regulators following each move in tow. The headlines: There...

Marketing communications policies must define advisors' client and prospect interaction protocols, which FINRA considers marketing communications with the public.