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The Best Interest Era: What Every Firm Needs to Know

For too long, "best interest" has been a phrase that sounded good in policy manuals but lacked operational teeth. That era is now over. What began as a principles-based initiative under Reg BI has matured into an enforcement framework – one where regulators are no longer looking for internal policies. They’re looking for proof. Increasingly, [...] Read More

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

For decades, financial professionals have walked a regulatory tightrope – balancing growth, client relationships, and ever-changing compliance standards. The pressure has only increased in recent years, especially in the high-stakes world of rollover recommendations. Advisors must not only provide sound financial advice but also document, justify, and be ready to defend every decision to regulators. [...] Read More

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

The fiduciary rule has remained a source of regulatory uncertainty for financial professionals, with recent developments adding further complexity. In a significant turn, the Trump administration has requested a pause in ongoing appeals related to the Department of Labor’s (DOL) fiduciary rule, further complicating the landscape for wealth and asset managers seeking clarity on compliance [...] Read More

Supercharge Your Practice with Growthtech

By David Reeve  Client-facing technology plays a vital role in achieving organic growth Wealth firms consider organic growth the most important metric heading into 2025, according to Schwab’s RIA benchmarking survey. Despite this goal, organic growth has languished in the low single digital rates in recent years, driven by several factors including the decumulation of [...] Read More

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

As we approach the end of another transformative year, InvestorCOM celebrates the milestones and progress that defined 2024. The year was defined by a rapidly evolving wealth management industry responding to significant developments in regulatory policy. At InvestorCOM, we remained steadfast in our mission to empower firms and financial professionals with innovative solutions, helping them [...] Read More

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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