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Tag: morningstar

Webinar: 2021 Reg BI Exams & Variable Annuities

Events

It has been six months since Reg BI’s best interest standard went into effect. Initially, the regulators required that firms make “good faith” and reasonable efforts to ensure the principles of the regulation were in place.  However, the SEC recently shifted gears. Starting January 2021, the SEC will move beyond good faith expectations and expand […]

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Reg BI’s Care Obligation and Reasonable Alternatives

Blog July 14, 2020

With Reg BI now in effect, broker-dealers and their representatives will need to illustrate how they are complying with the SEC’s Regulation Best Interest (Reg BI). One of the requirements dealers should pay close attention to is the Care Obligation and the consideration of Reasonably Available Alternatives (or RAA) when making a recommendation. What’s Changed? […]

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