Court Update: Reg-BI is the New Standard For Advisors and Brokers!
Courts did NOT throw out Reg-BI! Don’t be part of the last rush to compliance At this point, if you have not heard of the SEC’s Regulation Best Interest, then...Read More
Reg-BI Podcast 4:SEC Exams
The final installment of our four-part Reg BI Podcast series examines what is known about the SEC’s REG-BI Examinations. While the examinations appear to be geared towards broker-dealer’s, RIAs can...Read More
Reg-BI Podcast 3: Form CRS
In the third installment of the four-part Reg BI Podcast series, Yon Perullo delves into form CRS, which is potentially the most important form of Reg-BI and will effect every...Read More
Reg-BI Podcast 2: Regulation Overview
Installment 2 of a four-part series on Reg BI. Yon Perullo reviews the key components of Reg-BI and highlights the critical issues to ensure compliance.
Reg-BI Podcast 1: Legal Landscape
This is the first installment of a four-part series on Reg BI. Yon Perullo discusses the current legal challenges to Reg-BI and why you shouldn’t rely on the courts to...Read More
Your Reg-BI Briefing – Be Ready. Stay Compliant.
As we all remember, it has been a few years since governmental agencies were working on a new proposal to regulate the financial advisory industry with the best interest of investors in mind.