Tag: reasonably available alternatives

Reg BI’s Care Obligation Under Scrutiny by SEC

Reg BI’s Care Obligation Under Scrutiny by SEC

On March 3, 2021, the US Securities and Exchange Commission (SEC) Division of Examinations announced its examination priorities including a greater focus on Regulation Best Interest (Reg BI). Reports from […]

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Reg BI Exams – The Care Obligation

ON-DEMAND WEBINAR With a new SEC Chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’ efforts, firms will be looking to adjust their practices to meet […]

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The Reg BI Journey What’s Coming in 2021

The Reg BI Journey: What’s Coming in 2021

With more than six months since the Regulation Best Interest (Reg BI) compliance deadline, a heightened sense of anticipation is brewing around what wealth firms should expect in 2021. In […]

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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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