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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 game changers for anyone looking to grow their plan business. What we...

Regulation Best Interest

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.

Regulation Best Interest

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 you have been under a rock for the past two years. All...

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 learn a lot about how to comply by learning what the SEC...

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 financial professional working with retail clients.

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.

Blog Full With Left Sidebar

Early Returns – CTML & Campaign features pay dividends!

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

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

Reg-BI Podcast 4:SEC Exams

Reg-BI Podcast 3: Form CRS

Reg-BI Podcast 2: Regulation Overview

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