Stock exchange market concept, businessman trader looking on tablet with graphs analysis candle line in office room, diagrams on screen.

By Jeff Harpel

Stock exchange market concept, businessman trader looking on tablet with graphs analysis candle line in office room, diagrams on screen.

Stock exchange market concept, businessman trader looking on tablet with graphs analysis candle line in office room, diagrams on screen.

Related Content

Compass representing the direction registered reps need for compliance

Blog

Registered Representative Compliance – Must Know Essentials

You’ve decided to enter the exciting world of wealth management and want to work at a broker-dealer as a Registered Representative. Now what? Qualifications Overview To be a Registered Representative (Registered Rep), you must be registered with an SEC registered broker-dealer, pass a qualifying exam, and be licensed by your state securities regulator. The firm will […]

Learn More
star nebula representing AI in wealth management part 2

Podcast

AI in Wealth Management Podcast Series Part 2

AI’s Role in Transforming Wealth Management Artificial intelligence is increasingly integral to the wealth management sector’s shift towards data-driven, personalized, and secure services. However, as firms embrace AI technology, they also face escalating regulatory demands and risk management hurdles. In Part 1 of our Oyster Stew podcast series on AI and Wealth Management, we shared […]

Learn More
Alert birds on wire representing SEC T+1 Alert

Blog

SEC Issues T+1 Risk Alert

T+1 Risk Alert Highlights Examination Focus The U.S. financial market’s move to a T+1 settlement cycle has taken tremendous resources from industry participants including buy-side and sell-side participants, custodians, and clearing agencies. Not to be left out, regulatory authorities have finalized rule changes governing settlement activities to enforce the T+1 settlement cycle. The SEC Division […]

Learn More
Get In Touch Scroll Up