Blog 3 Columns

Anecdotal Evidence Data Backed Results Not Good Enough When we released our CTML (Customizable Trackable Marketing Letters) and LE Pro and Platinum campaign features, we knew these tools would be...

Here’s What’s Next For The DOL Fiduciary Rule.

Colin Ward

13 Jul 2020

Regulation Best Interest compliance examinations are around the corner. Yet, just as Advisors and Brokers adapt to a new Reg-BI environment the Department of Labor (DOL) proposed a new regulation that will affect anyone who gives investment advice.

Court Update: Reg-BI is the New Standard For Advisors and Brokers!

Colin Ward

30 Jun 2020

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...

Reg-BI Podcast 4:SEC Exams

Yon Perullo

25 Jun 2020

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...

Reg-BI Podcast 3: Form CRS

Yon Perullo

25 Jun 2020

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...

Reg-BI Podcast 2: Regulation Overview

Yon Perullo

25 Jun 2020

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

Yon Perullo

25 Jun 2020

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...

Your Reg-BI Briefing – Be Ready. Stay Compliant.

Alexandr Starodubtsev

23 Jun 2020

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.

“Can I wait till the last minute for Reg BI?”

Luke St. Angelo

18 Jun 2020

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 until the last minute is something uniquely human. I was a master of procrastination in University and it gets addictive. Many might even be thinking there’s still a chance maybe the rule might go away.