Blog

Get the latest updates on regulatory compliance

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

What’s Really Holding Firms Back from Capturing the Convergence Opportunity

Blog
As retirement assets continue to grow and financial planning becomes more complex, the traditional separation between retirement advice and wealth management is fading. Advisors are increasingly expected to guide clients across both domains – from workplace retirement plans to long-term personal wealth strategies. This shift has given rise to what many now describe as the [...] Read More

The Biden Era Retirement Security Rule Is Gone. PTE 2020-02 Still Defines the Compliance Reality.

Blog

Recent headlines declaring the death of the Biden-era Retirement Security rule have left many wealth and retirement professionals asking the same question: What actually changed? The answer is simpler than the headlines suggest. A federal judge has formally vacated the Department of Labor’s 2024 Retirement Security Rule — the Biden administration’s attempt to expand fiduciary […]

Read More