Types of financial advisors

Explore the different categories of financial advisors—from RIAs to robo advisors—to determine which expert aligns with your ...
JD Supra

SEC takes on AI use by broker-dealers and investment advisers - Expansive coverage of types of technology and investor interaction in play

In a Legal Alert issued before the SEC's open meeting, we posed five questions that our Investment Services team would be looking out for as part of this meeting. We now have answers to some of these ...
Traders Magazine

FLASH FRIDAY: Broker-Dealers Hit With Off-Channel Comms Fines

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On Friday, February ...