Builder of Investment Models Deviates From Blueprints Employee’s Rogue Remodeling Costs Builder Plenty -
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered...more
5/8/2025
/ Algorithms ,
Annuities ,
Compensation & Benefits ,
Employee Benefits ,
Enforcement Actions ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Life Insurance ,
Registered Investment Advisors ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
In October 2024, FINRA released its blueprint for the securities industry’s use of the metaverse — the metaverse report. The metaverse, often framed as “the next evolution of today’s internet,” is a loosely defined term used...more
5/6/2025
/ Data Privacy ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
FinTech ,
Information Technology ,
Innovative Technology ,
Investors ,
Metaverse ,
Regulatory Requirements ,
Securities Regulation ,
Virtual Currency
Artificial intelligence (AI) can and is already changing how firms and registered representatives recommend financial products to customers. AI has the potential to enhance recommendations that registered representatives...more
2/7/2025
/ Artificial Intelligence ,
Consumer Financial Products ,
Employee Benefits ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Investment ,
Investment Adviser ,
Machine Learning ,
Retirement ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation