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 you have been under a rock for the past two years. All the writing on this blog
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 learn a lot about how to comply by learning what the SEC will be looking
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 financial professional working with retail clients.
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.
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 save you from compliance.
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.
This is the most frequent question I get when it comes to the SEC’s quickly approaching new regulation: Can I wait until the day before? As long as I have a solution by 11:59pm on June 30th, I’ll be alright, right? I totally get it, waiting
With less than 3 weeks until the June 30th Regulation Best Interest compliance deadline, are you one of the RIAs holding their breath to see if it will be stopped? The lawsuits don’t intend to stop Reg BI because it is too strict, though. In fact,
Today's release is about mobile apps with tons of new functionalities. With included update notifications and email open rate tracking system this app will become a really valuable tool in the hands of an experienced advisor, who wants to prospect executives with just one click
Large businesses are leaving small firms in the dust by implementing technology to meet Regulation Best Interest’s requirements. With less than a month left, I know that I don’t need to remind you that the June 30th Regulation Best Interest Deadline is fast approaching. How