FINRA Seeks Comment on BD Blockchain Implementation
FINRA issued a report on Wednesday examining the uses and implications of distributed ledger technology in the securities industry.
When Trump Tweets, Investors Listen
What does a tweeting president mean for advisors and their investor clients?
Raymond James Chooses New Data Partner: Tech Roundup
Raymond James has chosen AxiomSL to provide broker-dealer and bank holding data aggregation and reporting solutions, the firm announced on Thursday.
FINRA Alerts Investors to Aggressive Call Center Tactics
As clients with smaller accounts are pushed out of advisor relationships, they may be sent to heavily sales-oriented call centers, FINRA says.
Ron Carson Completes Move From LPL to Cetera
The wealth management group has over $6.5 billion in assets on its RIA platform and other operations.
IRS Probe of Bitcoin Accounts Sparks Legal Showdown
San Francisco digital currency company Coinbase Inc. is challenging an IRS request for information about customers.
Industry Groups Express Support for OCC Fintech Charter
Supporters argue that fintech regulations should be tailored to firms' individual risk and business models.
Is Your Data Breach Response Plan Good Enough? 3 Ways to Stress Test It
As the chances of a data breach incident increase, savvy businesses have invested time and thought in a response plan.
Morgan Stanley Q4 Profits Double, but Wealth Group Misses Target
CEO James Gorman says the firm's wealth management operations will produce better results this year.
LPL Adds $810M Bank Client
First Interstate Wealth Management has about 40 advisors and 80 offices in Montana, Wyoming and South Dakota.