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Meant to eliminate conflicts of interest on self-directed trading apps that use AI and predictive analytics, the rule would in fact cut off market access for many of the investors who use them, a lawyer for the tech firm argued in a recent public...
In the latest filing in its suit against FINRA in federal court, the Utah-based brokerage firm disputed the regulator’s claims that a ruling against it could have a dire impact on investors.
Mark Copeland, founder of Signature Estate & Investment Advisors, and Ben Prigal, vice president of Reverence Capital Partners, discuss the value of partnership between private equity and RIAs.
