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The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.
November 21 -
The marketing technology firm's new drag-and-drop tool includes AI-powered tools for headline writing, image generation and calls to action for clients.
August 22 -
Matchmaking services offer the promise of lead generation without the hassle of cold calling. But do they deliver?
August 4 -
The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.
August 2 -
Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.
July 20 -
INVEST 2023 panelists and the latest SEC risk alert suggest the regulator will treat the rule much like one that has cost big Wall Street firms more than $2 billion in fines.
June 20 -
A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.
June 15 -
It may take time, trial and error but the turbo-AI tool is worth integrating into an advisory firm's marketing technology stack.
June 6Planning Alliance -
Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.
May 31 -
In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.
April 11