


Half a Decade of Reg BI: Progress Made, Gaps Remain
As we mark the fifth anniversary of the SEC’s Regulation Best Interest (Reg BI), it’s evident that while strides have been made, the journey toward full clarity and compliance continues. Insights from the 2025 FINRA Annual Conference and recent industry analyses highlight ongoing challenges and opportunities in the Reg BI landscape. Persistent Ambiguities in Compliance […]
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The Compliance Burden Holding Financial Advisors Back – And How to Fix It

As SEC Throttles Enforcement, States Finalize Their Own Advisor Standards
by Tracey Longo As the Securities and Exchange Commission pumps the brakes on securities enforcement, the North American Securities Administrators Association is preparing to roll out a regulatory standard of its own to help states better protect investors from financial advisors with conflicts of interest, an NASAA official said in an interview today. In […]
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The Fiduciary Rule Rollercoaster: Compliance Strategies for 2025

Supercharge Your Practice with Growthtech

SEC Enforcement – Account Type Recommendations

Why is RolloverAnalyzer Driving 30% Asset Growth for Financial professionals and Firms?
In today’s regulatory landscape, capturing rollover assets is both a significant opportunity and a complex challenge for financial professionals and firms. Every year, billions of dollars are moved from employer-sponsored retirement plans into Individual Retirement Accounts (IRAs), offering financial professionals a chance to strengthen relationships, grow their practices, and demonstrate value. However, given the conflicts […]
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2024: InvestorCOM’s Year In Context

The Coming Regulatory Reset
What the New Administration Means for Wealth Management The incoming administration, armed with a deregulatory mandate, promises to rewrite the rulebook for regulators and agencies. For wealth firms, this is both a challenge and an opportunity to navigate the evolving landscape of oversight. At the heart of these changes is Paul Atkins, President Trump’s likely […]
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