Tag: care obligation

How to Recommend Variable Annuities with Confidence

How to Recommend Variable Annuities with Confidence

Reg BI’s Care Obligation requires a financial professional to consider reasonably available investment alternatives (RAA) offered by the broker-dealer (refer to “Reg BI’s Care Obligation and Reasonable Alternatives” for more […]

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The Hold Up on Hold Recommendations

The Hold Up on Hold Recommendations

For many wealth management firms, the last few months have gone by in a flash. The combined pressures of working remotely, executing business continuity practices and meeting the Reg BI […]

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