It has been almost two years since Regulation Best Interest (Reg BI) came into effect. Recently, the Financial Industry Regulatory Authority (FINRA) published their 2022 Exam Report. The report brings […]
Read More
Two major regulatory changes are currently bearing down on financial professionals and broker-dealers. Regulation Best Interest (Reg BI) came into effect on June 30, 2020, requiring that broker-dealers and financial […]
Read More
With SEC examinations ramping up and PTE 2020-02 deadline around the corner, we invited Issa Hanna from Eversheds Sutherland and John Carl from Retirement Learning Center to share their observations […]
Read More
Today, FINRA published the 2022 Report on FINRA’s Examination and Risk Monitoring Program. For firms that are impacted by Regulation Best Interest (Reg BI), this regulatory report is certainly insightful. […]
Read More
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 […]
Read More
The window for firms to meet compliance for PTE 2020-02 is getting shorter. In October 2021, the DOL stated that all proper processes need to be in place by January […]
Read More
ON-DEMAND WEBINAR The SEC and DOL are continuing to focus on rollover recommendations and their impact on investors. The DOL’s Fiduciary Rule and PTE 2020-02 requirements, enforceable on December 21, […]
Read More
December 20 is just around the corner, which means time is quickly running out to meet compliance for PTE 2020-02. In preparation for the looming deadline, InvestorCOM recently hosted a roundtable […]
Read More
Prior to the Reg BI implementation deadline, many saw the principled-based regulation as the most significant enhancement of conduct standards since the passing of the Securities Act. Fast forward to […]
Read More
Over the past decade, the wealth management industry has grappled with a fair share of regulatory change. For many, the mushrooming regulatory change is no longer an exception, but an […]
Read More
