What’s happening in Reg-BI Compliance Court?
With a Republican administration believing in small Federal government, I think it is safe to say that the SEC may defer to States to oversee and enforce Reg-BI’s new standards. With thousands of affected people in the financial services industry, this may make logistical sense. It means that RIA and BDs may experience different levels of scrutiny, depending on where they work.
What is RegBI’s Future With a Democrat Administration?
New news from the campaign trail continues the Reg-BI regulatory whiplash, but don’t let that become an excuse for not being compliant. The polls show a likely power shift in the White House - take that with a 2016-flavored grain of salt. Allan Lichtman, the renowned historian who predicted the presidential results for the past four decades, predicts Biden will take the White House. (He bases his prediction, not on polls, but 13 binary qualifiers that are pretty interesting)
3 Tricks to Navigating the Admin Panel
Group by the advisor, state or date Hide columns to display the most relevant data Sorting Columns Admin Panel Personalization All of RiXtrema’s products in its software suite have one...Read More
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 have not heard of the SEC’s Regulation Best Interest, then...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 the most important form of Reg-BI and will effect every...Read More