PTE 2020-02 Recap and What We’ve Learned to Date

2023: The Year of Reg BI’s Care Obligation

Regulation Best Interest (Reg BI) came into effect on June 30, 2020. Since then, FINRA and the SEC’s Division of Examinations have been reviewing firms’ implementation and compliance practices throughout […]

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How to Determine Reasonably Available Alternatives

How to Determine Reasonably Available Alternatives

The Securities and Exchange Commission’s Best Interest Rule includes several mentions of the requirements and allowances for determining which investment products are considered reasonably available alternatives under Regulation Best Interest’s […]

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SIFMA CL San Diego 2023

SIFMA C&L Annual Seminar 2023

Meet InvestorCOM at the SIFMA C&L Annual Seminar 2023 on March 12-15 2023 in San Diego. SIFMA’s C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals […]

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