The Practice: Technology

Morgan Stanley Agrees to Pay $200M Over Employee Communications

August 8, 2022No Comments

The firm has reached a settlement with the SEC and the CFTC over record-keeping practices related to its staff’s use of unapproved devices.

Robinhood CEO: Schwab's Not Buying Us, We’ll Do the Acquiring

August 5, 2022No Comments

Vlad Tenev dismissed the possibility of the firm getting acquired by Charles Schwab or by the crypto exchange FTX.

Finra Proposes Remote Inspections Pilot Program

August 4, 2022No Comments

The self-regulator wants to assess the potential of extending remote inspections of all branch offices in light of the temporary change implemented for the Covid-19 pandemic.

New Senate Bill Aims to Give Crypto Oversight to CFTC

August 4, 2022No Comments

Securities and Exchange Commission chair Gary Gensler, meanwhile, has long pushed for the commission to regulate digital assets.

LPL is Boosting FAs’ Value Proposition to Clients. Here’s How

August 4, 2022No Comments

Lending solutions and cash management are part of the strategy.

Fidelity’s Abby Johnson: Time as Analyst Shaped Her Thinking

August 3, 2022No Comments

Learning about what makes management teams successful and the common mistakes managers make were “incredibly valuable “ for the chief executive officer.

Numerica Credit Union Jumps to Cetera

August 2, 2022No Comments

The credit union’s investment program was previously affiliated with CUSO Financial Services.

FAs Weigh In: Easy and Convenient is the New Normal

August 1, 2022No Comments

"‘I don’t think we will go back completely to our pre-Covid behaviors,” according to Summit Trail Advisors’ Jack Petersen.

FAs Can't Escape the Need to Offer Digital Services

August 1, 2022No Comments

The majority of Americans surveyed by Envestnet trust human financial advisors over digital options but wish technology could just handle their personal finances for them.

Still Working from Home? Finra Wants to Make It Official

August 1, 2022No Comments

Eligible home offices would become residential supervisory locations with only "small additional compliance costs," according to the self-regulator.