Blog

Get the latest updates on regulatory compliance

The Simplest Framework for Defensible Rollover Advice

Blog
The conversation around rollover advice has become increasingly complicated. Rules shift. Interpretations evolve. Standards overlap. Firms debate whether a recommendation falls under Reg BI, SEC fiduciary obligations, or PTE 2020-02. Advisors are left navigating a landscape filled with technical distinctions and regulatory ambiguity. And yet, beneath all of that complexity, the foundation of a defensible [...] Read More

Back at FINRA: Reg BI Is Still Filling the Room

Blog

It was great to be back at the FINRA Annual Conference, reconnecting with industry colleagues and making connections with new faces. The conversations picked up right where they should: what firms are seeing in the field, where the process still gets messy, and how teams are continuing to improve their Reg BI and rollover workflows. […]

Read More

Product Pulse – Intelligent Plan Lookup in RolloverAnalyzer™

Blog
Every second an advisor spends hunting for the “right” plan name is a second not spent with the client. A missing ampersand. A different filing format. An abbreviated company name. Small friction points — but they slow down rollover workflows, create frustration, and impact advisor efficiency at scale. That’s why we enhanced Intelligent Plan Lookup [...] Read More

Bridging the Gap Between Investor Anxiety and Advisor Guidance

Blog

How advisors can turn retirement concerns into structured, compliant conversations   Executive Summary Retirement anxiety is widespread among investors, yet most never engage an advisor. Closing that gap, supported by the right data, workflows, and compliance solutions is one of the clearest paths to better retirement outcomes.   The Retirement Confidence Gap U.S. investors face […]

Read More

FINRA’s Scrutiny of Variable Annuities Ramps up

Blog

By the InvestorCOM Team | ~7 min read Variable annuities have always sat near the top of FINRA’s exam priority list, but recent guidance and enforcement activity make clear the bar has moved. As Norton Rose Fulbright recently observed, FINRA has “upped regulatory scrutiny” of variable annuities, with examiners zeroing in on exchanges, RILA recommendations, […]

Read More

The DOL Rule Is “Dead.” Best Interest Analysis Is Anything But.

Blog
When the latest DOL fiduciary rule was vacated, a familiar narrative took hold: with the regulatory pressure off, firms would dial back the rigor of their rollover process. Less analysis. Lighter documentation. A return to "good enough." The data tells a very different story. What we're seeing in the platform Across InvestorCOM's rollover analytics platform, [...] Read More

A ‘Dead’ DOL Rule Doesn’t Mean Advisors Can Relax, Experts Warn

Blog

By Tracey Longo | This article first appeared in the Financial Advisor magazine The Department of Labor’s latest fiduciary rule proposal may be dead, but that doesn’t mean advisors can ignore compliance, experts warn. Federal courts and the new leadership at the DOL may have wiped away the overhaul, but for wealth managers and advisors, the […]

Read More

The Metric That Matters Most: Utilization

Blog
A few years ago, we started dabbling in a question that sounds simple, until you try to answer it honestly. What metric best reflects whether our software is delivering real value? John Doerr’s Measure What Matters reinforces a powerful idea: focus on what actually drives outcomes. That framing pushed us toward a related question, not [...] Read More

FAQ: DOL Fiduciary Rule Reset – What Advisors Need to Know

Blog
Recent headlines about the rollback of the Biden-era Retirement Security Rule have left many wealth and retirement professionals asking a simple question: what actually matters now? To help cut through the noise, we’ve put together a concise FAQ. Click on a question below to explore further. What happened with the 2024 Fiduciary Rule?Within the past [...] Read More

Technology Is the Bridge Between Retirement and Wealth Advice

Blog
As retirement assets grow and client expectations evolve, advisors are increasingly expected to deliver holistic financial guidance that spans both workplace retirement plans and personal wealth strategies. This shift is driving what many industry leaders now call the convergence of wealth and retirement advice. But convergence does not happen simply because advisors want it to. [...] Read More