Reg-BI Isn’t Delayed Because Of COVID-19
The markets are tumbling and 10 million people filed for unemployment in the last two weeks. But, don’t think for a second that the SEC is rolling back the June...Read More
SCOTUS Ruling Alert! Plan Sponsors And Fiduciaries May Risk Litigation
Don’t Fear the Ruling Here’s what the Court Found How advisors can benefit from this ruling This ruling will not change anytime soon Here are some next steps for advisors...Read More
Stock tips and socializing can get BDs and RIAs in trouble with Reg-BI
Here’s the situation: The location has no bearing on a recommendation. Ask yourself two questions to see if a conversation qualifies as a recommendation Exercising Fiduciary Caution will show you...Read More
Advisors are still in denial about Regulation Best Interest
Here are my key takeaways from the LINC conference. When the SEC knocks, how will you prove compliance? The Stars Point to Compliance Better to bargain We are here to...Read More
Client Relationship Summary (CRS Form) Checklist
Introduction Description of relationships and offered services A statement of the applicable conduct standard associated with the services Fees and Costs A Comparison of BD and RIA services for firms...Read More
Don’t fall blindly into these 3 conflicts in Reg BI
Revenue-Sharing Conflicts Reg-BI represents a significant change in the SEC’s regulation target. Revenue Sharing is the practice of an investment fund security sharing money back with broker-dealers who sell it...Read More