The advocacy group for advisors argued the rule is overly broad. In contrast, the outgoing director of the SEC's Investment Management Division said the degree of risk in AI’s proliferation is “obvious.”

The regulator continues its focus on AI, off-channel and public-facing communications.

While AI will prove a boon to advisors in many ways, fraudsters and scammers will make the most of it, too.

Compliance isn’t rocket science, but it comes at a cost—both in terms of time and money.

Of all the options, organic growth allows advisors to retain the most autonomy and freedom from relying on luck or the whims of deal partners

Be real, be an educator, leave your ego at the door, avoid being overly sales-focused and be patient.