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
Understanding the E-Mail Validation feature in Larkspur Executive Pro
When we released the CTML (Customizable Trackable Marketing Letters) in Larkspur Executive, we realized that one criteria, above all others, would be paramount to our client’s success in utilizing this...Read More
Successful Marketing with LE Pro/Platinum
The Basics – For Everyone Not for everyone – But very helpful, even in parts The End One of the most common requests we receive from clients is to share...Read More