Tuesday, May 13th, 2014 and is filed under AI Insight News
Considering the sheer size of the financial industry in the United States, you may think the odds of a regulatory review are fairly slim. However, FINRA Chairman and CEO Richard Ketchum recently stated that while FINRA regulates about 4,100 brokerage firms and about 635,000 registered securities representatives, “we are out there on the ground and in the field every single day—in offices all across the country—overseeing virtually every aspect of the securities business.” Read More
Thursday, April 24th, 2014 and is filed under AI Insight News
On April 7, 2014, researchers disclosed a vulnerability in a technology called OpenSSL that powers encryption across much of the internet. The vulnerability is commonly known as the “OpenSSL Heartbleed Flaw.” Read More
Monday, April 21st, 2014 and is filed under AI Insight News
The real challenge holding many firms back from expanding their alternative investment platform is meeting advisor education and advisor training requirements per FINRA NTM 03-71, 05-26, 10-22, and 12-03 Read More
Thursday, March 27th, 2014 and is filed under AI Insight News
In the 2013:2 edition of the Ohio Securities Bulletin, the Division published an article entitled “Suitability Requirements in Direct Participation Programs.” One section of that article under the heading “A Word About DRIPs” generated comments from Direct Participation Program (“DPP”) sponsors and broker-dealers. The Division believes that providing additional clarification regarding the article and suitability obligations related to DPP Distribution Reinvestment Plans (“DRIPs”) may be beneficial for DPP market participants. Read More
Thursday, February 13th, 2014 and is filed under AI Insight News, Press Releases
The Investment Program Association (IPA), a trade association for non-listed direct investment vehicles, and AI Insight, the financial industry’s most trusted source for alternative investment product information and training, today announced that a new and uniquely powerful direct investments compliance tool, the AI Insight Daily Blue Sky Report, will be available to IPA members. Read More
Wednesday, January 1st, 2014 and is filed under AI Insight News
AI Insight is pleased to announce marketing professional Vickie Stone has joined the company. In her role as Director of Marketing & Client Relations, Vickie will oversee the development and implementation of AI Insight’s communications strategies in addition to managing client relationships with both broker dealers and alternative investment product sponsors. Read More
Monday, June 24th, 2013 and is filed under AI Insight News, Press Releases
AI Insight, the financial industry’s most trusted source for alternative investment product information and training, has expanded its online platform to include enhanced financial performance monitoring and reporting for public programs. Read More
Tuesday, June 11th, 2013 and is filed under AI Insight News
FINRA recently issued Regulatory Notice 13-18: Communications With the Public to provide guidance to firms on communications with the public concerning unlisted real estate investment programs, including unlisted real estate investment trusts (REITs) and unlisted direct participation programs (DPPs) that invest in real estate. This notice can be read in its entirety here. Read More
Wednesday, May 1st, 2013 and is filed under AI Insight News
Please welcome Melissa Sanders, AI Insight’s new Director of Sales and Client Relations. Ms. Sanders started in the financial services industry in 1989. Prior to joining AI Insight, she was a Regional Director with SEI Investments, providing practice management advice to financial advisors. Her expertise in analyzing and streamlining their business models exponentially increased revenues, creating a different paradigm than the standard practice. Read More
Friday, March 29th, 2013 and is filed under AI Insight News, Press Releases
AI Insight is pleased to announce the addition of four Structured Products education modules consisting of Structured Certificates of Deposits, Principal Protected Structured Notes, Principal at Risk Structured Notes, and Structured Products Payout Structures Issuance Type. Each segment has been filed with the Certified Financial Planner Board of Standards, Inc., and will merit one continuing education credit (CE) upon completion. Read More
Considering the sheer size of the financial industry in the United States, you may think the odds of a regulatory review are fairly slim. However, FINRA Chairman and CEO Richard Ketchum recently stated that while FINRA regulates about 4,100 brokerage firms and about 635,000 registered securities representatives, “we are out there on the ground and in the field every single day—in offices all across the country—overseeing virtually every aspect of the securities business.” Read More
