See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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The annual program honoring individuals and business initiatives that help financial advisors better serve their clients will be held in person in New York City on Sept. 9.
The rule filing would have made several changes to the regulatory agency's expungement process, including establishing "specialized arbitration panels" for such requests.
Speakers during the closing session of the group's Private Client Virtual Conference this week also detailed the legislative prospects for the PRO Act, which could limit IBDs' contractor status.
In the challenge to make offices both COVID-19-safe and attractive places to work, firms have been experimenting with working arrangements and space while employees toiled at home.
As if Zoom weren't enough, the broker/dealer is working on an augmented reality application that will allow advisors and clients to 'meet' in a virtual room.
The firm is also working toward a hybrid work environment for its branch offices, to facilitate both human and mobile interactions, said CEO Paul Reilly.
