Tech executives discuss use cases, experiences and the future of artificial intelligence during the CTO Panel at the WealthManagement.com Industry Awards Executive Forums.

FINRA says multiple reps at the wirehouse recommended short-term buying and selling of securities meant to be held long term.

The SEC’s commissioners are scheduled to decide Wednesday whether to finalize measures that would alter the way brokers, market makers and exchange businesses operate.

Cetera-backed Wilde Wealth Management Group has brought on Drew Kliber, who managed $400 million in assets at UBS, as head of its W Family Office division.

The deal with Charles D. Hyman & Company represents Hightower’s second transaction this year.

The portfolio will include private equity, private credit and real assets and will be open to qualified investors.

The IBD has launched a new tech consulting service, as well as other business solutions related to investment management and talent.

The firm, co-founded by serial entrepreneur Jud Mackrill, seeks to fill RIA firms' need for business intelligence, data consolidation and integration.

Morningstar’s latest U.S. Active/Passive Barometer compared active and passive fund performance over the year ending in June.