The main themes of finding investments appropriate for investors and on education were highlighted in panels mixing industry leaders with FINRA officials. Or as one panelist at the FINRA Annual event put it: “A chatbot won’t provide a suitability review like a well-trained adviser can,” reminding us that technology must
FINRA Annual 2026: Tracking the compliance and legal trends
At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.