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Despite delays and glitches, the third-annual AdviceTech.Live was well-balanced between new tech demos and lively panels, raised $32,000 for financial planning-related organizations, and demonstrated that virtual-only advisor conferences—born out...
Following the blockbuster settlement, expect messaging apps and personal devices to be a 'routine' part of SEC scrutiny for firms of all sizes, say compliance experts.
NASAA's annual enforcement report charted the continued problem of promissory note fraud, and the rise of interest in the metaverse in the securities markets.