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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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The Bridge to a Hybrid Advisor

The Bridge to a Hybrid Advisor

Despite the early threat of robo-advice disrupting the wealth industry, experts now align on the notion that technology will not displace the wealth advisor. The emergence of a hybrid model […]

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