Data and information management

The firm remains in transformational flux, but the results of its "Project E" evolution are beginning to show.

Early adopters of machine learning technology are more likely to expect business increases this year.

Congress is considering a proposal that would allow small companies to create a multiple-employer retirement plan to enable workers to build savings.

Advancements in fintech, new products and a shifting regulatory environment are among industry executives' top concerns.

Analytics for retirement readiness

The impact of technology on client-facing jobs has been grossly overstated. Their threat to the back office, however, is very real.

The reforms could serve as a checklist for firms looking to enhance their own cybersecurity posture in light of the regulator’s increased scrutiny.

The No. 1 IBD launched an investment offering aimed at the distributed ledger technology its research unit says could disrupt nearly every industry.

The quant crowd is justifiably concerned by the lack of objective statistics available.

The ability for consumers to access and share data in one place could transform financial advice.

The firm provided some 82,400 initial and annual privacy notices to customers that were not compliant and in some cases provided no notices at all, FINRA claimed.

The tech giant's data division rolls out new apps for clients — and links to Alexa.

The rep processed a $9,850 wire request from an imposter posing as a customer, even after the customer called to say that the request was not genuine, FINRA claimed.

The largest IBD network is integrating data analytics into its recruiting and client leads after embarking on other major changes in recent months.

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

The news of the data breach cast a shadow over relatively strong first-quarter earnings for the Atlanta bank.

Collaboration is key to the effort since there “is no competitive advantage to be the only firm engaged in data protection."