Regulatory & Compliance
In early November, the U.S. Supreme Court will hear arguments on behalf of Denise Badgerow, a Louisiana financial advisor. Badgerow wants to have a state court vacate a FINRA arbitration ruling instead of following a federal court’s decision to confirm the regulator’s award. So reports Advisor Hub.
Markets & Investments
The Department of Labor has gathered significant information on the challenges facing plan sponsors, advisors and recordkeepers when it comes to the dealing with the cognitive decline of those saving for retirement. So reports Investment News.
Technology & Communications
CogniCor, a fintech firm, has launched three digital assistant tools to help financial advisors become more efficient. So reports Think Advisor.
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