Early Returns – CTML & Campaign features pay dividends!
Anecdotal Evidence Data Backed Results Not Good Enough When we released our CTML (Customizable Trackable Marketing Letters) and LE Pro...Read More
Thursday, March 19, 2026
Blog 4 Columns
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Here’s What’s Next For The DOL Fiduciary Rule.
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!
Courts did NOT throw out Reg-BI! Don’t be part of the last rush to compliance At this point, if you...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...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...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...Read More
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...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.