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The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.

A clinic at the University of Georgia has offered free advice through a variety of methods for almost a decade.

Many firms are finding new ways to incorporate computer models and data science into their research.

Judy Volkmann, founder of the FPA’s New York chapter, helped launch a college program connecting hundreds of mentors with students.

The smart-beta offerings each have an international focus.

Advisers have turned into the new active investment managers.

Steve Gilde is director of global payments for Paragon.

Peter Van Valkenburgh is the director of research for Coin Center. Formerly, he was the Google Policy Fellow for TechFreedom. He is a graduate of NYU School of Law, and a self-taught designer and coder.