The SEC's amendment to rule 17a-4 represents a tremendous opportunity to bring firms' record-keeping systems into the 21st century.
Answers to advisors' questions will be generated exclusively using Morgan Stanley's library of content and data.
Also at this year's conference, MoneyGuide founder Bob Curtis returns with a vision for a new fintech, while executives from Envestnet and Advisor Engine provide updates.
Keeping tabs on texts and messaging has been difficult for the industry, and fines have been mounting.
The firm provides marketing services to more than 500 independent advisors; its affiliated RIA, AE Wealth Management, will make the tool available to its advisors.
Webull Financial failed to conduct adequate due diligence on customers, Finra found, but the company did not admit or deny fault.
The latest comes from FMG Suite, which announced a new AI engine that will automatically generate personalized social media content.
The 25-year industry veteran and managing partner of Merchant Investment Management works extensively with RIAs.
The expansion of the map over the last five years shows the innovation that's occurring in the fintech sector and the many choices available to advisors.
Plus, BetaNXT acquires Mediant Communications, Advisor360 hires a tech executive from Amazon Web Services, and InvestCloud innovates asset management distribution.
Over the next month, thousands of financial advisors will travel to Florida to learn about the latest technology and how it can improve their practice.
Investors can now buy and sell stocks and fractional shares with zero trading commissions, marking a shift from the company's previous emphasis on the value of passive investing.
The regulator releases an update to an exam sweep probing how member firms tout themselves on social media.
LPL's disclosure follows a crackdown by US regulators on financial firms' failure to monitor employee communications on messaging apps.
FutureAdvisor joins a growing roster of robo-advisors that have closed up shop, including RobustWealth and Motif Investing.
An integration with Redtail Speak, a compliant texting service, is just the beginning of the company's plans to bring artificial intelligence into its technology.
Plus, Holistiplan goes to college, AIMR Analytics releases advisor comparison tool, and GW&K selects PureFacts.
The turnkey asset management and technology provider brought in $456 million in revenue last year, up 20% year-over-year.
Dynasty has acquired a minority stake in BridgeFT and appointed its chief technology officer, Frank Coates, to serve on the fintech’s board.
The artificial intelligence software, which became an internet phenomenon in recent months, generates text, images and other media in response to a short prompt.
