Tag: FINRA

Reg BI & Form CRS: What FINRA Expects in 2025 and How to Prepare

White Papers
The 2025 FINRA Regulatory Oversight Report has highlighted significant compliance deficiencies in Regulation Best Interest (Reg BI) and Form CRS compliance. As FINRA raises the bar, wealth firms must evolve their compliance posture to mitigate risks and foster growth in their practice. This handbook breaks down the deficiencies, and the effective practices that firms can [...] Read More

DOL Fiduciary Obligations & SEC Guidance

Blog

On October 31, 2023, the Department of Labor (DOL) proposed a new rule aimed at “Improving Investment Advice for Workers & Retirees”. InvestorCOM hosted a webinar, with the wealth industry’s most trusted and seasoned experts, to discuss this new proposal. Prior to the webinar, InvestorCOM asked our webinar attendees the following poll questions. Here are the results.

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NSCP 2023 Recap

Blog

The third week of October 2023 marked a momentous occasion for me. It was my first ever attendance at the National Society of Compliance Professionals conference, and I must say, it did not disappoint.

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