Oyster Senior Consultant Harriet Britt Contributes Article to April Issue of NSCP Currents

Oyster Senior Consultant Harriet Britt recently contributed her article, “FINRA Digital Advice and the Robo-World” to the National Society for Compliance Professional’s (NSCP) latest issue of Currents, the organization’s monthly publication for industry professionals.  The article reviews FINRA’s “Report on Digital Advice,” including  supervision of testing algorithms and tools, fees and expenses, investor profiles and… READ MORE

FINRA Folds Its CARDS Until Industry Concerns Addressed

On Friday, May 1, Financial Industry Regulatory Authority (FINRA) CEO Rick Ketchum testified at a Congressional hearing that FINRA is halting any work on its Comprehensive Automated Risk Data System (CARDS) unless they are able to address industry concerns around the potential ability of “a few bad actors” to access information that could possibly be… READ MORE