Events

SEC Guidance on Reasonably Available Alternatives

Events

On-demand Webinar  >>   The SEC recently published guidance for advisors and broker-dealers on meeting their care obligations when making recommendations to retail investors. In what was part three of a series [...] Read More

FINRA Annual Conference 2023

Events

Meet InvestorCOM at the FINRA Annual Conference on May 16-18, 2023 in Washington DC. FINRA’s Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s […]

Read More

2023: SEC & FINRA’s Focus on Reg BI’s Care Obligation

Events

On-Demand Webinar  >>  FINRA’s 2023 risk monitoring report, the SEC’s Risk Alert on Reg BI and 2023 Exam Priorities are three recent regulatory reports that call out deficiencies and a [...] Read More

SIFMA C&L Annual Seminar 2023

Events

Meet InvestorCOM at the SIFMA C&L Annual Seminar 2023 on March 12-15 2023 in San Diego. SIFMA’s C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals […]

Read More

The Challenge of Implementing and Adopting Compliance Technology

Events

On-demand Webinar  >>   Adopting technology across a financial services enterprise is challenging, fraught with risk and requires significant expertise and forethought. This challenge is exacerbated when adopting compliance technology. Many [...] Read More

Regulation Best Interest Case Studies

Events

On-Demand Webinar    >>  FINRA and the Securities and Exchange Commission (SEC) brought their first Regulation Best Interest (Reg BI) enforcements this fall and have stated that they will be zeroing [...] Read More

ComplyConnect Conference & Expo

Events

November 8 – 10, 2022 | Austin, TX InvestorCOM is pleased to be participating at the ComplyConnect Conference & Expo taking place at the Omni Barton Creek Resort & Spa […]

Read More

DOL’s Fiduciary and Retrospective Review Expectations

Events

On-Demand Webinar   The Department of Labor’s Prohibited Transaction Exemption (DOL PTE 2020-02) requirements are now in full effect, including the documentation and disclosures of rollover recommendations. With the February […]

Read More

NSCP 2022

Events

Meet InvestorCOM at the 2022 NSCP National Conference, on Oct 17-19 2022 in National Harbor, MD. Parham Nasseri, InvestorCOM’s VP of Regulatory Strategy will be presenting at the following panel […]

Read More

Reg BI Exams and Enforcement

Events

On-Demand Webinar The SEC’s draft strategic plan highlights the enforcement team’s focus on recommendations made to retail investors. With the SEC scrutinizing the placement of retail investors’ funds, and the […]

Read More