5 Components To The Form CRS Examinations
What is the OCIE expecting by June 30th? 5 Compliance Components in the Form CRS Examinations There’s a lot more to learn about the CRS Form Form CRS may be...Read More
Thursday, March 19, 2026
Blog 3 Columns
Big Page Title Style
How Does The COVID Crisis Mix With Corporate Debt
Look to the past, lest ye beware What do the Rating agencies say? Bond Market History doesn’t offer much guidance In previous articles, Yon and I analyzed the threat of...Read More
Risk Alerts Regarding Reg BI For Broker-Dealers And Investment Advisers
Two Risk Alerts were released by The SEC’s Office of Compliance Inspections and Examinations (OCIE) for Reg BI and Form CRS on April 7, 2020. The Risk Alerts were issued...Read More
Journey Through The Liquidity Trap
The Pandemic is a Supply Shock It’s a TRAP! A Liquidity Trap! So, who provides the growth? Odysseus’ Choice More risk scenarios in Portfolio Crash Test Pro (Banner Below) In...Read More
Reg BI Risk Alerts For Broker-Dealers And Investment Advisers
Two new Risk Alerts: Don’t Wait to Become Compliant Forgive us if you’re getting sick of reminders that Reg-BI is not being delayed by the SEC. As Luke wrote this...Read More
The Reg BI Train Can’t Be Stopped And is Arriving Soon
With the past few months now in the rearview mirror, it’s looking more clear than ever that Regulation Best Interest from the SEC doesn’t seem to be going anywhere. There...Read More
What Happens When Money Falls From The Sky?
The CARES ACT is not TARP CARES will help with the restart in a few ways Americans are getting $1200 this month but what about inflation? Short-run Economic Effects of...Read More
4 Habits To Forget Fear And Seize Growth From The Jaws Of this Crisis
This is not just another post in which I convince you that the Coronavirus is a tremendous threat or that to say home is a heroic mission. No, I don't need to convince you that the Coronavirus is a real danger, and some of us were already hermit introverts.
Sell Plan Sponsors From Home on Autopilot: LE PRO Registration is Open!
This is Yon Perullo of Larkspur-RiXtrema. For months we have been working on LE PRO to help you sell retirement plans on autopilot, using automated email campaigns. And with all...Read More