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Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.
May 16
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AI has become a crucial part of the conversation for wealth managers, as firms such as Goldman Sachs, Morgan Stanley and Citigroup consider how to deploy the technology.
May 16
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The Securities and Exchange Commission, having already approved spot bitcoin ETFs, ought to follow through and grant the same approval to spot ethereum funds. Doing so would create a new surge of investment, with positive economic impacts.
May 16
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Proposals to crack down on private placement insurance contracts aren't close to becoming law. Here's how advisors and their clients can use them for the time being.
May 16
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At least 17 Republicans and one Democrat, Sen. Joe Manchin of West Virginia, have signed onto a joint resolution under the Congressional Review Act.
May 15
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The ban comes amid heightened regulatory scrutiny of firms' messages on services like WhatsApp and posts on social media sites.
May 15
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The consumer price index came in a little cooler last month, ending a streak of bad inflation data — at least for now.
May 15
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Women see and understand the research underscoring the benefits of diversity in leadership and want to align their investment dollars with this approach.
May 15
Nia Impact Capital -
Officials from FINRA and SEC spoke on how they are examining AI and emerging technology while also raising new risk concerns like deepfakes, which could make voice recognition software obsolete.
May 14
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Wealth managers often plan as if their clients will live to age 95 — but few Americans do. New research suggests a different approach.
May 14
