Financial Planning2 months agoRemote teamsLarge firms seek to show FINRA remote work can workRemote inspections pilot program by FINRA may lead to permanent remote work policies in the industry. [ more ]
WSJ8 months agoArtificial intelligenceFinra Calls AI 'Emerging Risk' in Annual Regulatory ReportAI classified as emerging risk by Finra Regulatory implications of AI deployment highlighted [ more ]
WSJ8 months agoArtificial intelligenceFinra Calls AI 'Emerging Risk' in Annual Regulatory ReportAI classified as emerging risk by Finra Regulatory implications of AI deployment highlighted [ more ]
Financial Planning2 months agoRemote teamsLarge firms seek to show FINRA remote work can workRemote inspections pilot program by FINRA may lead to permanent remote work policies in the industry. [ more ]
WSJ8 months agoArtificial intelligenceFinra Calls AI 'Emerging Risk' in Annual Regulatory ReportAI classified as emerging risk by Finra Regulatory implications of AI deployment highlighted [ more ]
WSJ8 months agoArtificial intelligenceFinra Calls AI 'Emerging Risk' in Annual Regulatory ReportAI classified as emerging risk by Finra Regulatory implications of AI deployment highlighted [ more ]
Barrons4 months agoRemote teamsBrokerage Industry Regulator Seeks to Set the Record Straight on Remote WorkNew rules in brokerage sector aim to clarify remote work policies, not mandate full-time office return. [ more ]
Quartz4 months agoRemote teamsFINRA wants Wall Street to stop blaming it for return-to-office mandatesFINRA's new rules are not meant to force a return to the office but to provide member firms with greater flexibility. [ more ]
WSJ8 months agoBusiness intelligenceFinra Calls AI 'Emerging Risk' in Annual Regulatory ReportAI classified as emerging risk by Finra Regulatory implications of AI deployment highlighted [ more ]
Smartasset3 months agoSocial media marketingFinancial Advisor Social Media Compliance ChecklistSocial media is a powerful marketing tool for advisors, but compliance is crucial to avoid fines and penalties. [ more ]