Panelists spoke about advanced analytics’ impact on the industry during FINRA’s annual conference, while SEC Chair Gary Gensler said he’d asked commission staff to consider recommendations on rules for predictive data analytics conflicts.
The tool includes the option to run plans through real-life historical scenarios including the Great Depression, the post-war period, 1970s stagflation, the dot-com bubble and the 2008 financial crisis.
The move to the independent broker/dealer channel has been a popular choice for many advisors seeking expanded product offerings and more freedom. But not all independent broker/dealers are the same. With a little research, advisors will find that independence can mean different things with each firm.
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