


FINRA Annual Conference 2023
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 […]
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2023: SEC & FINRA’s Focus on Reg BI’s Care Obligation

SIFMA C&L Annual Seminar 2023
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 […]
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The Challenge of Implementing and Adopting Compliance Technology

Regulation Best Interest Case Studies

ComplyConnect Conference & Expo
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 […]
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DOL’s Fiduciary and Retrospective Review Expectations
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 […]
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Reg BI Exams and Enforcement
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 […]
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