Robo-Advisors

'A regulator who always says "no" is not serving investors well,' Peirce says.

Gensler has tough questions for 'stonks' industry

Investors would normally revel in investment earnings that could produce capital gains but the SEC notes in a new enforcement action that their adviser erred ...

Prior to SoFi Wealth’s decision to move client assets into the new SoFi ETFs, and prior to the transfer itself, SoFi Wealth did not perform ...

Firm also ran afoul of cash solicitation and documentation requirements, 'ineffective' compliance program cited

Robinhood CEO Vladimir Tenev says his firm shut down GameStop trading on his site because it was worried about “risk.” “At approximately 5:11 a.m. EST ...

There are now nearly 13,500 SEC-registered IAs managing $97.2 trillion in assets

Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...

Digital advisors and broker-dealers sprung up as a way to simplify the lives of ordinary investors. Now those companies that famously disrupted the financial services ...

Recording (06/11/2019)