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MARTECH MINUTES: Marketing Communication Policy Gaps – A Recipe for FINRA Fines
Marketing communications policies must define advisors' client and prospect interaction protocols, which FINRA considers marketing communications with the public.
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 3/6/26
Is the sky falling? Because the “Chicken Littles” are definitely clucking.
Welcome to AI & Finance, where we have a big, broad bevvy of artificial intelligence...
United Planners Selects Upgrades To Its Regulatory Tech Stack with SurgeONE.ai
AI platform to consolidate compliance automation, cybersecurity, and data integration
By DWN Staff
United Planners Financial Services of Scottsdale, Arizona, has announced the selection of...
Advisor Tech Talk (Week of 3/3/26)
Most financial advisors need to periodically earn continuing education (CE) credits to keep their professional marks and certifications current. For most designations, earning CE credits doesn’t really mean that...
AI & Finance™ | News for the Week Ending 2/27/26
Well, it happened again.
That’s probably the wrong way to look at the big U.S. stock market decline earlier this week, which for the second week in a row...
Decentralized Diaries for the Week of 2/23/26
Institutional priorities, and not speculative momentum, shaped the crypto and blockchain narrative in the final full Week of February. Markets remained largely range-bound, but...
AI & Finance™ | News for the Week Ending 2/13/26
Since we started AI & Finance, sometimes it feels like we’re talking up artificial intelligence too much, that we may be overly enthusiastic or optimistic about...