Jul 22, 2024 View in Browser

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News

Brokerages, Banks Caught Up in Massive Tech Outage

By Dinah Wisenberg Brin

Clients at Bank of America, JPMorgan Chase, Schwab and Wells Fargo reported problems Friday.

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news

SEC Launches Sweep of RIAs' T+1 Compliance

By Melanie Waddell

RIAs have received letters asking for details on trade procedures, K&L Gates attorneys say.

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News

FINRA Reminds BDs of Their Duties When Using AI

By Melanie Waddell

A FINRA notice reminds BDs that its rules are intended to be technology-neutral.

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News

Advisor360 Launches Bulk Repapering Service

By John Manganaro

The firm says its new service can transition up to 6,000 client accounts in a matter of minutes.

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News

Smarsh Integrates ChatGPT With Its Compliance Platform

By Katie Rass

The integration allows financial services firms to use ChatGPT Enterprise compliantly, the tech firm says.

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News

New Nominations Deadline for the 2024 Luminaries Awards

By Janet Levaux

ThinkAdvisor's recognition program is accepting nominations through July 24. There's no cost to participate.

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Resources

Selling a Major Business Asset & Achieving Philanthropic Business Objectives at the Same Time

Sponsored by: Foundation Source

When selling a major business asset, strategic planning can help your clients reduce taxes while supporting charitable causes. Discover how to capture these opportunities through private foundations.

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All About MYGAs: Primer for RIAs

Sponsored by: Flourish Financial LLC

This primer on Multi-Year Guaranteed Annuities (MYGAs) is tailored for RIAs and covers everything you need to know about MYGAs to help you better serve your clients. Flourish Financial LLC is a registered broker-dealer and FINRA member. Flourish Financial LLC is not a bank. Please visit flourish.com for more information.

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