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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 the writing on this blog about how Reg-BI will affect Broker-Dealers and Registered Investment Advisors has been in lead up to today – June 30th, 2020 – the beginning day of compliance for the new standards. Today. Did you get that? Don’t even think about making any recommendations or seeing clients if you haven’t reevaluated your processes to be compliant with Reg-BI. It will put you at serious...

Yon Perullo

25 Jun 2020

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 learn a lot about how to comply by learning what the SEC will be looking for during these examinations.

Yon Perullo

25 Jun 2020

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 financial professional working with retail clients.

Yon Perullo

25 Jun 2020

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.

Yon Perullo

25 Jun 2020

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 save you from compliance.