1.0RiXtrema.comhttps://rixtrema.com/blogColin Wardhttps://rixtrema.com/blog/author/colin-ward/What's happening in Reg-BI Compliance Court?rich600338<blockquote class="wp-embedded-content" data-secret="K7TJD4UZdV"><a href="https://rixtrema.com/blog/reg-bi-compliance/">What’s happening in Reg-BI Compliance Court?</a></blockquote><iframe sandbox="allow-scripts" security="restricted" src="https://rixtrema.com/blog/reg-bi-compliance/embed/#?secret=K7TJD4UZdV" width="600" height="338" title="“What’s happening in Reg-BI Compliance Court?” — RiXtrema.com" data-secret="K7TJD4UZdV" frameborder="0" marginwidth="0" marginheight="0" scrolling="no" class="wp-embedded-content"></iframe><script type="text/javascript">
/* <![CDATA[ */
/*! This file is auto-generated */
!function(d,l){"use strict";l.querySelector&&d.addEventListener&&"undefined"!=typeof URL&&(d.wp=d.wp||{},d.wp.receiveEmbedMessage||(d.wp.receiveEmbedMessage=function(e){var t=e.data;if((t||t.secret||t.message||t.value)&&!/[^a-zA-Z0-9]/.test(t.secret)){for(var s,r,n,a=l.querySelectorAll('iframe[data-secret="'+t.secret+'"]'),o=l.querySelectorAll('blockquote[data-secret="'+t.secret+'"]'),c=new RegExp("^https?:$","i"),i=0;i<o.length;i++)o[i].style.display="none";for(i=0;i<a.length;i++)s=a[i],e.source===s.contentWindow&&(s.removeAttribute("style"),"height"===t.message?(1e3<(r=parseInt(t.value,10))?r=1e3:~~r<200&&(r=200),s.height=r):"link"===t.message&&(r=new URL(s.getAttribute("src")),n=new URL(t.value),c.test(n.protocol))&&n.host===r.host&&l.activeElement===s&&(d.top.location.href=t.value))}},d.addEventListener("message",d.wp.receiveEmbedMessage,!1),l.addEventListener("DOMContentLoaded",function(){for(var e,t,s=l.querySelectorAll("iframe.wp-embedded-content"),r=0;r<s.length;r++)(t=(e=s[r]).getAttribute("data-secret"))||(t=Math.random().toString(36).substring(2,12),e.src+="#?secret="+t,e.setAttribute("data-secret",t)),e.contentWindow.postMessage({message:"ready",secret:t},"*")},!1)))}(window,document);
//# sourceURL=https://rixtrema.com/blog/wp-includes/js/wp-embed.min.js
/* ]]> */
</script>
https://rixtrema.com/blog/wp-content/uploads/2020/10/Reg-BI-Compliance-Court-min.png700400With 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.