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
Here’s What The SEC Is Looking For In It’s First Reg-BI Exams
The SEC is sympathetic to COVID-19 efforts Is your firm ready to show a good-faith effort? Don’t forget these critical compliance steps What is the CRS Form? Rixtrema’s Reg-BI Optimizer...Read More