JULY 21, 2020

REGULATION AND COMPLIANCE

SEC Nominees Face Questions on Reg BI, COVID-19 in Senate Hearing

Patrick Donachie

Hester Peirce and Caroline Crenshaw appeared before a remote hearing of the Senate Committee on Banking, Housing and Urban Affairs to discuss their concerns and ambitions for the Commission's future.

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TECHNOLOGY

RIA in a Box Launches App

Samuel Steinberger

With the industry lagging in mobile app development, compliance technology firm RIA in a Box is unveiling an advisor-focused app.

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SPONSORED CONTENT

Podcast: Planning or Planning to Finish Well

Sponsored by Wells Fargo Advisors Financial Network

If you were unable to run your advisory practice for the short- or long-term, would your clients and employees be well cared for during that time?

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INDUSTRY

Ex-Morgan Stanley Staffers Want Out of NDAs to Discuss Racism

Sridhar Natarajan, Max Abelson and Michelle F. Davis

At least six former staffers say they can’t share their experiences because of the strict conditions in their exit pacts with the firm.

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