Here’s What The SEC Is Looking For In It’s First Reg-BI Exams
The SEC is sympathetic to COVID-19 efforts Is your firm ready to show a good-faith effort? Don’t forget these critical compliance steps What is the CRS Form? Rixtrema’s Reg-BI Optimizer...Read More
RIAs Beware! Small Mistakes Can Carry Expensive Fines For 401(k) Plan Sponsors
Fidelity is a Frequent 401(k) Lawsuit Defendant Oracle’s $12 million-mistake Market corrections are marketing opportunities Key Takeaways RiXtrema’s 401k Fiduciary Optimizer was created to help Financial Advisors inform plan sponsors...Read More